Capitalizing on GIS and Asset Managementonlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_800...varying...

Capitalizing on GIS and Asset Management

NCHRP Project 08-87 Successful Pracces in GIS-Based Asset Management

Implementa�on Guide

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Contents1. Introduc�on ................................................................................................................................. 1

Purpose of This Guide .................................................................................................................. 1Guide Organiza�on ...................................................................................................................... 1Defini�ons .................................................................................................................................... 2Se�ng the Context—the Prac�ce of TAM................................................................................... 4TAM+GIS: Using GIS for More Effec�ve Transporta�on Asset Management ............................. 5

2. Assessing Your Agency’s Capabili�es........................................................................................... 7Levels of GIS Implementa�on for TAM....................................................................................... 7GIS Capabili�es by TAM Business Process.................................................................................. Understand the State of the Assets............................................................................................. 8

8

Assess and Manage Risks .................................................................................................................... 11Iden�fy Needs and Work Candidates ................................................................................................. 14Develop Programs ............................................................................................................................... 18Manage and Track Work ..................................................................................................................... 21

Taking Stock .............................................................................................................................. 24Assessing the Agency’s GIS Founda�on ................................................................................... 25Using the Assessment Results: Developing an Overall Strategy .............................................. 28

For Agencies with a Rela�vely Weak GIS Founda�on ....................................................................... 28For Agencies with a Rela�vely Strong GIS Founda�on ...................................................................... 29

3. Evalua�ng Ini�a�ves for Advancing Capabili�es ...................................................................... 30Op�ons for Moving Forward .................................................................................................... 30Building a Business Case for GIS/TAM Ini�a�ves ..................................................................... 34

Step 1: Ar�culate the Business Need ................................................................................................. 35Step 2: Define Op�ons for Mee�ng the Business Need .................................................................... 38Step 3: Iden�fy Costs for Each Op�on ............................................................................................... 39Step 4: Iden�fy Benefits of Each Op�on ............................................................................................ 40Step 5: Iden�fy Risks .......................................................................................................................... 46Step 6: Put It All Together ................................................................................................................... 47

4. Ge�ng It Done: Ingredients for Success .................................................................................. 51The Seven Ingredients for Success ........................................................................................... 51

Ingredient 1: Management Commitment and Organiza�onal Alignment ......................................... 52Ingredient 2: GIS Tools and Exper�se .......................................................................................... ....... 54Ingredient 3: Well-Defined and Proac�ve Data Stewardship ............................................................ 55Ingredient 4: Accurate and Complete Founda�onal Geospa�al Data ............................................... 56Ingredient 5: Consistent Data Standards Enabling Spa�al Data Integra�on ..................................... 57Ingredient 6: Management Systems Linked with GIS ........................................................................ 58Ingredient 7: Coordinated Data Collec�on Across the Agency .......................................................... 59

Case Studies .............................................................................................................................. 61References .................................................................................................................................... 75Appendix A: Applica�ons Catalog ................................................................................................. 76Appendix B: Resources ................................................................................................................. 85

GPS Data Collec�on Standards ................................................................................................. 85Geospa�al Data Policies ........................................................................................................... 85

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List of TablesTable 1. GIS for Transporta�on Asset Management: Levels of Implementa�on ........................ 8Table 2. Using GIS to Understand the State of the Assets ....................................................... 10Table 3. Using GIS to Assess and Manage Risks ....................................................................... 13Table 4. Using GIS to Iden�fy Needs and Work Candidates ..................................................... 16Table 5. Using GIS to Develop Programs .................................................................................. 20Table 6. Using GIS to Manage and Track Work ........................................................................ 23Table 7. GIS for TAM at an Agency: At-a-Glance Assessment .................................................. 25Table 8. Checklist: GIS Founda�on ........................................................................................... 26Table 9. GIS/TAM Ini�a�ves ..................................................................................................... 31Table 10. Value Added by GIS-TAM Capabili�es ...................................................................... 43

List of FiguresFigure 1. Guide Organiza�on ....................................................................................................... 1Figure 2. Transporta�on Asset Management: Key Concepts ...................................................... 2Figure 3. Key Elements of Geographic Informa�on Systems ...................................................... 3Figure 4. TAM Business Processes ..............................................................................................4Figure 5. GIS Capabili�es for Transporta�on Asset Management .............................................. 6Figure 6. Understanding State of the Assets—Implementa�on Steps .................................... 11Figure 7. Using GIS to Assess and Manage Risks—Sample Data Layers ................................... 14Figure 8. Data Layers for Physical Assets (Loca�on and Condi�on) ......................................... 17Figure 9. Common Data Layers for Scoping and Priori�za�on ................................................ 18Figure 10. Quadrant View of GIS/TAM Capabili�es ................................................................. 28Figure 11. Building a Business Case for GIS/TAM Investment .................................................. 35Figure 12. Ingredients for a Successful GIS/TAM Program ...................................................... 51

List of MapsMap 1. Understand the State of the Assets ................................................................................9Map 2. Assess and Manage Risk .............................................................................................. .12Map 3. Iden�fy Needs and Work Candidates ........................................................................... 15Map 4. Develop Programs ........................................................................................................ 19Map 5. Manage and Track Work .............................................................................................. 22Map 6. Provide Informa�on About Proposed Projects ............................................................ 65Map 7. Maryland SHA eGIS—Highway Ligh�ng Inventory ....................................................... 69Map 8. IDOT District 9—Deficient Structures by Program Year of Upgrade ........................... 72

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1. Introduction

Purpose of This GuideTransporta�on agencies are responsible for maintaining and improving physical assets to ensure safe, efficient, and reliable travel. Planning and coordina�ng investments within and across different classes of assets is a complex endeavor involving mul�ple func�onal areas within the agency. A geographic informa�on system (GIS) provides a powerful set of capabili�es to bring informa�on together in a spa�al context, enabling effec�ve and coordinated decision making. While GIS is now an integral part of the informa�on landscape in most transporta�on agencies, applica�ons of GIS for managing assets are s�ll at an early stage of maturity.This guide iden�fies opportuni�es for agencies to manage risks and increase efficiency and effec�veness through integra�ng GIS into transporta�on asset management (TAM) prac�ces. Itprovides a roadmap for agencies to use in assessing these opportuni�es and in undertaking ini�a�ves to strengthen their capabili�es. The guidance presented here can be tailored to organiza�ons with varying asset management programs and GIS environments.

Guide OrganizationThe guide organiza�on is illustrated in Figure 1. It is structured to lead the user through a process of: (1) Assessing current agency capabili�es for using GIS to enhance TAM processes;(2) Iden�fying ini�a�ves for advancing GIS implementa�on for asset management, based on agencypriori�es and a business case for specific GIS improvements; and(3) Moving forward with implementa�on of ini�a�ves, building on strategies for overcoming common barriers to progress.

Figure 1. Guide Organiza�on

Sec�on 2—Capabili�es provides overview of key processes for transporta�on asset management and describes how GIS can add value within each process. It dis�nguishes three levels of capabili�es— basic, intermediate, and advanced, and provides a framework for agencies to assess where they areand understand opportuni�es for advancing their prac�ces.

Capabili�es

• What ispossible, and where are wenow?

Ini�a�ves

• Where do wewant to goand why?

Implementa�on

• How do weget there?

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This sec�on contains several tools and templates that agencies can use to analyze and plan GIS capabili�es. These are designated with the icon to the le�, and include:

Figure 6—Implementa�on steps for adding new spa�al asset data. Figure 7—List of spa�al data layers that are of value for risk analysis.Figure 8 – List of spa�al data layers that are of value for tracking the state of the assets.Figure 9—List of spa�al data layers that are of value for scoping and priori�za�on ofasset maintenance and rehabilita�on work. Table 7—Worksheet for recording results for assessment of current use of GIS for TAM. Table 8—Checklist for assessing the agency’s basic GIS founda�on.

Sec�on 3—Ini�a�ves describes how to iden�fy ac�ons for furthering use of GIS in support of asset management, and to evaluate the business case for investments. It provides a framework for agencies to look at specific types of improvements and determine which are worth pursuing.Sec�on 4—Implementa�on describes strategies for implemen�ng GIS for TAM. Agencies can use this sec�on to develop an implementa�on plan for a longer-term ini�a�ve, or simply to learn about techniques for avoiding common pi�alls. Appendix A—the Applica�ons Catalog provides specific examples of applica�ons, cross-referenced to the capabili�es in sec�on 2. Appendix B provides selected examples of geospa�al data collec�onstandards and policies.

DefinitionsTransporta�on Asset Management, or TAM, refers to an agency’s processes for managing infrastructure assets throughout their life cycle to meet agency objec�ves. TAM is a holis�c way ofdoing business that cuts across planning, programming, design, construc�on, and maintenance and opera�ons func�ons. Key concepts of an asset management approach are illustrated in Figure 2.

Figure 2. Transporta�on Asset Management: Key Concepts

Transportation Asset

Management

Preserve Asset Value

Optimize Use of

Resources

Provide Transparency for Decisions

StrengthenAgency

Accountability

Identify and Manage

Risks

Data-Driven Processes to:

•

••

•

•

•

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Geographic Informa�on System, or GIS, refers to capabili�es for management, analysis, and presenta�on of spa�al informa�on. Key elements of GIS implementa�on include:

Establishing geospa�al data management standards and policies.Assembling hardware and so�ware necessary for collec�ng, managing, analyzing, and displaying spa�al data. Building a geospa�al data infrastructure—including base maps and linear referencingsystems. Collec�ng, maintaining, and managing spa�ally-referenced dataIntegra�ng spa�ally-referenced data from external sourcesBuilding and providing spa�al analysis capabili�es—both standalone and integrated with agency business applica�ons Building and sustaining staff exper�se for working with geospa�al data and specialized tools

Key elements of GIS are illustrated in Figure 3.

Figure 3. Key Elements of Geographic Informa�on Systems

Geographic Information

Systems

Spatial Data

Standards & Policies

Hardware, Software, &

Training

Spatial Queries & Analysis

Spatial Data Integration

Base Maps & Linear

Referencing

••

•

•••

•

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Setting the Context—the Practice of TAM In order to explore how agencies can leverage GIS capabili�es to support asset management, it isuseful to establish the context of core business processes that are part of an asset management approach. While each agency may carry out these processes in different ways and to varying extentsor use different terminology to describe them, five basic ac�vi�es of TAM can be dis�nguished, as illustrated in Figure 4 and summarized below:

Figure 4. TAM Business Processes

Understand the State of the Assets:•

•

Gathering asset inventory and condi�on data in order to understand what assets the agency owns, their loca�on, current condi�on, remaining useful life, and economic value, andAssessing network-level asset performance against established targets.

Assess and Manage Risks: Assessing risks and asset vulnerabili�es—iden�fying events or condi�ons that can lead to failure of assets to adequately provide their intended func�ons, Assessing the likelihood and consequences of asset failures,Establishing a risk tolerance level,U�lizing risk as a factor in asset rehabilita�on/replacement priority se�ng, andDeveloping risk mi�ga�on and recovery strategies.

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Iden�fy Needs and Work Candidates: Iden�fying strategies for op�mizing performance of the transporta�on system; Iden�fying suitable maintenance, rehabilita�on, replacement, and func�onal or opera�onal improvements for assets and developing work candidates for considera�on;Scoping construc�on projects and maintenance ac�vi�es to address mul�ple needs; andUnderstanding the current and poten�al future backlog of work required to maintainassets in a state of good repair that keeps risks within established tolerance levels.

Develop Programs: Planning mul�-year investments that minimize lifecycle agency and user costs, Packaging projects and maintenance ac�vi�es into programs constrained by available funding, andSe�ng priori�es for work when there aren’t sufficient revenues to meet all iden�fiedneeds through a process of investment versus performance tradeoffs within and across asset and program categories.

Manage and Track Work:Scheduling and managing delivery of asset maintenance and rehabilita�on work to maximize use of available resources and minimize customer disrup�on, andTracking work accomplished to provide accountability for use of funds and buildknowledge about asset life-cycle cost and performance.

TAM is fundamentally a set of business processes that every transporta�on agency is already doing tosome extent. TAM is o�en supported by several informa�on technology (IT) systems, but implemen�ng TAM is not synonymous with building or buying an asset management system. Even ifformal or automated processes are not set up for all of the five areas of TAM, agencies can s�ll consider augmen�ng GIS capabili�es to support whatever processes are in place for TAM. There is noneed to wait to implement a fully integrated asset management system, and there is no set required order of implementa�on.It is also important to note that fully integra�ng GIS with TAM takes more than acquiring asset or maintenance management so�ware with GIS capabili�es. If an agency does have asset management systems in place—or is considering acquiring one, they need to consider not only how to use the built-in GIS capabili�es of these systems (for “in silo” analysis) but also how to make sure one can integrate the data from these systems for other purposes. The guidance that follows emphasizes a comprehensive approach to GIS/TAM integra�on that goes beyond any single management systemimplementa�on.

TAM+GIS: Using GIS for More Effective Transportation Asset ManagementGIS provides three essen�al ingredients that enable agencies to effec�vely carry out the TAM processes outlined above: informa�on integra�on, analysis, and communica�on. Figure 5 illustrates how these three capabili�es can be applied within an asset management context. Asset management is by nature data driven; using GIS maximizes the value of data for decision making across the organiza�on. GIS capabili�es help agencies understand what they own, what their needs are, and

•

•

•

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how to best apply available resources to meet these needs in a holis�c manner. The guidance thatfollows assists agencies to be�er u�lize the informa�on integra�on, analysis, and communica�onfeatures of GIS to strengthen TAM prac�ce.

Figure 5. GIS Capabili�es for Transporta�on Asset Management

• Collect, assemble, and combine data needed for asset management, leveraging loca�on referencing standards and spa�al technologies.

• Maximize use of the same data for mul�ple purposes—"collect it once, use it mul�ple �mes."

Informa�onIntegra�on

• Use spa�al and temporal analysis capabili�es to understand trends and rela�onships that would be difficult to discern without a spa�al view.

• Gain insights that lead to be�er decisions in support ofagency goals and priori�es.

Analysis

• Create spa�al data views that facilitate understanding ofasset condi�ons, risks, needs, and strategies.

• Ac�vely use GIS to communicate informa�on within the agency and with external stakeholders.

Communica�on

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2. Assessing Your Agency’s Capabilities

Levels of GIS Implementation for TAM There is no single “right way” to u�lize GIS for asset management—each agency will want to assess the available op�ons based on its own par�cular needs and constraints. However, it is useful to dis�nguish different levels of implementa�on in recogni�on that there are some “basic” capabili�es that need to be in place before an agency can move on to more advanced applica�ons. Table 1 provides a generalized descrip�on of a simple model defining levels of implemen�ng GIS for TAM. Note that this is not meant to replace the more detailed maturity models available to capturethe mul�ple dimensions of a GIS implementa�on. (See references 1, 2, and 3). Rather, its intent is to provide a basic framework for agencies to assess where they are and formulate plans for advancing their capabili�es.

In general, basic capabili�es involve using GIS on an ad-hoc basis within individual business units(e.g., pavement or bridge management) to visualize informa�on such as asset loca�on and condi�on.More advanced capabili�es involve use of spa�al data integra�on and analysis, specialized GIS-enabled applica�ons that support workflow, and more formalized and automated processes for crea�ng, using, and sharing geospa�al data across business units. As agencies progress, they willtypically require more of a coordinated, agency-wide approach and will need to strengthen the underlying agency-wide founda�on for GIS. Moving to more advanced levels also involves embeddinguse of GIS within every day tasks and work flows.

Informa�on in Table 1 can be used to provide an ini�al idea of the agency’s current level of GIS implementa�on for TAM. In the sec�ons that follow, similar tables drill down into each of the five basic asset management business processes. Tables 2 through 6 present more detailed views that can help agencies to iden�fy how GIS might be used to advance specific areas of asset management prac�ce. Each of these tables describes what an ini�al, basic level of GIS implementa�on would entail for the specific asset management business process and lists sample ac�ons that can be considered to advance.

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Table 1. GIS for Transporta�on Asset Management: Levels of Implementa�onBasic Intermediate Advanced

Informa�on Integra�on

SiloedBusiness units collect and manage spa�ally-referenced asset inventory (for major assets)—li�le or no integra�on of data across the silos

Some integra�on of spa�ally-referenced asset inventory across business units (e.g., traffic datashared with pavement group), some geo-referencing of project andfinancial data

CoordinatedAgency-wide integra�on ofspa�ally-referenced asset inventory and project data; capability to integrate newspa�al data on an ad-hocbasis

Analysis Basic & Ad-HocSimple thema�c mapscreated showing informa�on for a single asset (e.g., loca�ons ofstructurally deficient bridges)

Special studies or limited ini�a�ves undertaken involving spa�alanalysis—including simple visualiza�on, spa�al overlays, dynamic segmenta�on

Powerful & EmbeddedRou�ne use of spa�al andtemporal analysis for decision making—e.g.,proximity analysis, geo-sta�s�cs

Communica�on LimitedMaps showing asset condi�on or work loca�on produced andshared on an ad-hoc basis using desktop tools or built-in capabili�es of asset management so�ware tools

Central GIS portal may exist with limited asset data (e.g., bridge loca�ons)

Standard maps suppor�ng internal asset management processes are defined and semi-automated processes are in place to produce them

Central GIS portal isavailable with inventory data for mul�ple assets as well as projectinforma�on from the transporta�on improvement program

Automated & ExtensiveComprehensive spa�ally-referenced asset and work data are available tointernal staff and externalpartners on web-based and mobile pla�orms

Senior management uses interac�ve maps for external communica�on

Agency makes data feeds or applica�on programminginterfaces (APIs) available for public useProject teams rou�nely use maps for collabora�on and informa�on sharing

GIS Capabilities by TAM Business Process

Understand the State of the AssetsThis first business process—understanding the state of the assets—is perhaps the most common area within which GIS is currently being used. Agencies collect spa�ally-referenced asset inventory and condi�on data using various technologies [e.g., GPS mobile devices, light imaging detec�on and

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ranging (LiDAR), digital images], and use GIS capabili�es for inspec�on planning, data quality assurance, and data display. Map 1 provides an illustra�on of a data display capability for understanding the state of the assets—with both map and straight line diagram views for mul�ple assets.Where are our deficient assets?

Map 1. Understand the State of the Assets (NHS = Na�onal Highway System)

Many agencies are at the basic level for this business process—using GIS-enabled applica�ons within individual business units to collect and view asset inventory and condi�on informa�on. More advanced capabili�es involve standardized and consolidated data collec�on efforts across assets, leveraging addi�onal GIS capabili�es for data quality assurance and inspec�on rou�ng op�miza�on, and standardizing and automa�ng processes for communica�ng informa�on about the state of the assets.Table 2 presents a summary of the Basic implementa�on level and ac�ons that can be taken to advance use of GIS to Intermediate and Advanced levels.

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Table 2. Using GIS to Understand the State of the AssetsBasic Intermediate Advanced


SiloedIndividualbusiness unitscollect spa�ally-referenced asset data for major assets & map itindependently

Collect spa�ally-referenced data for addi�onal assetsDevelop and adopt agency-wide GPS and loca�onreferencingstandardsStandardize field data collec�on hardware and so�ware acrossbusiness units

CoordinatedCoordinate asset inventory and condi�on data collec�on efforts across business units to maximize efficiencies—e.g., extract data for mul�ple assets from videos or LiDAR dataIntegrate spa�al asset data upda�ng processeswithin asset maintenance workflows Extract geo-referenced asset inventory data from CAD files

Analysis Basic & Ad-HocIndividualbusiness unitsview maps ofcurrent asset loca�on & condi�on (singleasset view)

Use GIS for quality assurance—check for data gaps,anomalies, and inconsistenciesUse GIS for inspec�on tracking—map inspec�ons due, scheduled, and completed

Powerful & EmbeddedCompare performance across asset classes to understand interrela�onships Display assets exhibi�ngfaster than expected deteriora�on rates or assets that have recently moved into “deficient” statusDetect pa�erns in assetdeteriora�on

Communica�on LimitedIndividualbusiness unitsshare asset loca�on & condi�on mapswith agency management and field office staffon request

Implement standard process to produce and publish standard maps showing asset condi�on to common GIS portalor website

Automated & ExtensiveImplement dynamic mapping of currentcondi�ons from source data systems Provide access to asset inventory/condi�on datato field staff via mobileapps

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—Figure 6 lists steps that an agency might take to implement or enhance GIS capabili�es for understanding the state of its assets. These steps provide a template that can be used to plan, collect, and manage new spa�ally-referenced asset informa�on.

Figure 6. Understanding State of the Assets—Implementa�on Steps

Assess and Manage RisksThe second asset management business process involves understanding various asset failuremechanisms, assessing their likelihood and consequences, and developing mi�ga�on strategies. As used here, “failure” does not necessarily imply structural failure (such as a bridge collapse); it means

Example: State of the Culverts (Intermediate Level)Agency A uses a tablet-based field data collec�on tool to inventory and inspect culverts. The tablet-based so�ware has been configured for several different assets, and allows users to add photographs, videos, audio clips, or notes to inventory or inspec�on records. The tool allows theuser to locate each culvert on the agency’s official linear referencing system (LRS).A�er the user has completed inventory and inspec�on work for a day, a “sync” process uploadsnew or modified records into a queue for approval. Once approved, the data are uploaded into the agency’s enterprise database, where they are available for viewing and analysis by central office and field staff across the agency.Maintenance personnel use the informa�on to create maps of culverts for inspec�on—by querying for date of last inspec�on, observed condi�on, and flood risk. District engineers review thema�c maps showing culverts by material, size, and condi�on to gain an at-a-glance picture of the state of the inventory. Design drawings are linked to the GIS culvert features. This allows the design group to easily access detailed informa�on from the map, including capacity calcula�ons for exis�ng culverts. They use this informa�on as they are developing new designs for nearby loca�ons.

Goals & Requirements

Meet with target users & stakeholders

Establish business case & use scenarios

Establish data & process owner(s)

Identify related efforts & coordination needs

Set scope & priorities: what assets, what

attributes

Identify source system of record (SSOR) & target GIS access

tool(s)

Establish spatialreferencing methods

Data Planning

Assess current data availability & quality

Assess and prioritize data gaps

Determine data integration needs and

methods

Develop data dictionary and

collection guide

Develop qualitystandards

Determine ongoing data updating

approach

Data Collection

Select a cost-effectivetechnology & method

Set up GIS planning & monitoring capability

for data collection

Plan routes/locations

Collect data & monitor progress

Review & correct data

Final qualityassurance (QA) &

acceptance

Data Integration & Access

Integrate spatial and attribute data

Implement data refresh method—batch or real time

Assemble & integrateexisting data layers

Work with users tospecify and set up

data views and queryoptions

Set up and test mobile access to data (if

required)

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failure of assets to provide their intended level of service. For example, a sign that does not meet retro-reflec�vity standards, or a pavement sec�on that has extensive ru�ng are safety risks that could be considered. Several different asset failure modes can be dis�nguished: gradual deteriora�on due to loadings and natural degrada�on of materials, premature failure due to poor quality construc�on or materials, failure associated with major clima�c events such as floods or earthquakes, or failure associated with other chance events such as vehicle hits.GIS can provide useful risk analysis capabili�es by integra�ng mul�ple data sources that affect:

The •

•

probability of asset failure—for example, traffic loadings, weather, flood zones, seismic zones, and soils; andConsequences of asset failure, including traffic exposure, detour lengths, and popula�on density.

Map 2 illustrates a GIS risk assessment capability for iden�fying bridge and culvert vulnerabili�es related to flood events.Where are our vulnerabili�es?

Map 2. Assess and Manage Risk

Basic uses of GIS in this area involve examina�on of assets that do not meet established target servicelevels together with readily available data such as traffic and road classifica�on. More advanced uses of GIS integrate addi�onal data, u�lize spa�al analysis capabili�es for calcula�ng risk scores based on mul�ple data sets, and standardize communica�on of risks across mul�ple asset classes. Increasingly, agencies are using tools such as risk registers or risk matrices as an input to asset rehabilita�on and replacement priori�es.Table 3 presents a summary of the Basic implementa�on level and ac�ons that can be taken to advance use of GIS to Intermediate and Advanced levels.

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Table 3. Using GIS to Assess and Manage RisksBasic Intermediate Advanced


SiloedIndividual businessunits assembleavailable basicgeospa�al dataper�nent tolikelihood and consequences of asset failure toperform as designed—e.g., loca�ons ofdeficient assets, detour lengths for structures

Assemble spa�ally-referenced informa�on on assets likely to beimpacted by floodingUndertake pilot efforts to integrate geospa�aldata layers of value for risk analysis—e.g., traffic volumes, growth rates, freight corridors, socio-economic characteris�cs, sea level rise, seismic zones

CoordinatedAssemble and maintain a common pool of geospa�aldata for risk analysisMaintain spa�allyand temporallyreferenced data onasset failures

Analysis Basic & Ad-HocIndividual businessunits use maps showing deficient asset loca�ons to assist with riskassessment

Develop spa�alanalysis capabili�es to display assets indifferent risk categories reflec�ng failure likelihood and consequencesCalculate and displayrisk scores based on spa�al data related to likelihood and consequences of asset failure

Powerful & EmbeddedCalculate replacement quan��es and costs for at-risk assets based on spa�aloverlays Integrate historicalinforma�on and model asset failure riskIden�fy atypicalperformanceclusters through historical analysis Assess benefits of mi�ga�on strategies

Communica�on LimitedIndividual businessunits develop ad-hoc maps illustra�ng key areasof concern

Use maps to share informa�on about risks across different asset classes

Automated & ExtensiveDevelop interac�ve maps to communicateconsequences of different funding levels and alloca�on strategies

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Figure 7 lists sample spa�al data layers that can be used for asset risk management.

Figure 7. Using GIS to Assess and Manage Risks—Sample Data Layers

Identify Needs and Work CandidatesThe third asset management business process involves developing asset maintenance, rehabilita�on, replacement, and improvement strategies that address risks and op�mize life-cycle costs.Iden�fica�on of needs and work candidates is o�en accomplished within individual asset or maintenance management systems, at varying levels of complexity based on the asset. For example, pavement needs may be assigned based on decision trees that take into account factors such as pavement type, date of last treatment, traffic level, and func�onal class. Traffic barrier needsiden�fica�on, on the other hand, may be event-driven (e.g., a vehicle hit) or established based on adherence to established standards and level of risk based on safety analysis. More advanced asset management programs cut across different asset and program areas and provide corridor and

Example: Risk Assessment (Intermediate—Advanced Level) Agency B sought to iden�fy roadway assets that may be affected during flood events. They contacted the state department of natural resources (DNR) and obtained a GIS data layer with flood zone informa�on. GIS staff imported this data layer into a geodatabase that also contained data for pavement, roadside assets, and structures. They created an overlay map that showed road sec�ons that fell into the areas of concern, and highlighted structures that have a marginal or belowstructural adequacy ra�ng.

The agency provided copies of the maps to district engineers to u�lize for development of riskmi�ga�on strategies.

Asset Risks

Inventory: bridges, culverts, safetyhardware, etc.

Asset age or remaining life

High risk assets - e.g., bridges over

water with unknownfoundation types

Assets not meetingestablishedstandards

Assets predicted to fall into deficient condition in next

three years

Assets with overdue inspections

Assets with deferredmaintenance

External Threats

Seismic hazards

Flood zones

Elevations

Stream gauge readings

Assets prone to flooding

Historical observations of asset failure/life

span

Weather history - temperature, storm

impact/severity

Landslides

Impacts

Average annualdaily traffic (AADT)

Functionalclassification

National Highway System

Priority network/ corridors

Evacuation routes

Non-redundant links/access routes

Bridge detour lengths

Population density

Asset value

Other

Bid price trends bydistrict

At risk projects - over budget or late

Steep or unstable slopes

Sections with unprotected steep shoulder drop off

High crash locations

Projected growth areas or links

Density of customer calls or emergency

maintenancerequests

Permafrost areas

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system-wide perspec�ves on safety, preserva�on, and restora�on needs. GIS is par�cularly helpfulfor providing this more holis�c perspec�ve. Map 3 illustrates a GIS capability for reviewing opportuni�es to address mul�ple needs across asset classes.

How can we scope work ac�vi�es to incorporate mul�ple needs?

Map 3. Iden�fy Needs and Work Candidates

GIS can be used to display assigned needs and work candidates, to maintain a history of loca�onswhere emergency or responsive maintenance has been requested, and to integrate and displayinforma�on required to assign appropriate treatments. It can also be used to evaluate different decision rules for treatment assignment – e.g., produce maps showing treatments recommended by different rule sets. More advanced GIS applica�ons use spa�al analysis features to create uniformsec�ons for treatment applica�on, and integrate informa�on from mul�ple sources to enable scoping of projects accoun�ng for mul�ple needs. Table 4 presents a summary of the Basic implementa�on level and ac�ons that can be taken to advance use of GIS to Intermediate and Advanced levels.

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Table 4. Using GIS to Idenfy Needs and Work CandidatesBasic Intermediate Advanced

Informaon Integraon

SiloedIndividual business unitsassemble basicinforma�on on asset characteris�cs, deficiencies, and current programmed projects

Integrate informa�on beyond condi�on datawithin individual asset management systems (traffic, crashes, road inventory, maintenance history, soils, etc.) using common spa�al referencing

CoordinatedIntegrate informa�on frommul�ple asset management and work planning/ programming systems within a single commonpla�orm

Analysis Basic & Ad-HocIndividual business unitsreview maps showing asset deficiencies to iden�fy new work candidates

Develop spa�alqueries to priori�ze deficient assets based on traffic, func�onal classifica�on, crash history, and other factorsUse GIS to create uniform sec�ons for applica�on of a single treatment

Powerful & EmbeddedDevelop spa�alqueries to iden�fy opportuni�es to address needs ofmul�ple assetsReview and assign appropriate treatment/fix based onoverlaying mul�pledata sets

Communica�on LimitedIndividual business units create maps to show need categories and loca�ons of work candidates for each individual asset—usingbuilt in mapping capabili�es within asset management systems orthrough exports to stand-alone mappingtools

Produce and share maps showing loca�ons withmul�ple needs—e.g., pavement, bridge, and safety

Automated & ExtensiveCreate interac�ve communica�ontools that display condi�on of mul�ple assets and other factors that were considered for iden�fying work candidates

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Figure 8 shows a list of poten�al spa�al data layers represen�ng a range of DOT asset types. Figure 9 includes a list of other common data layers that agencies might make available to assist with scoping and priori�za�on of needs and work candidates.

Figure 8. Data Layers for Physical Assets (Loca�on and Condi�on) (WIM = weigh in mo�on)

Roadway

Pavement

Shoulders

Medians

Drainage

Rumble strips

Pavement markings

Inter-sections

Structures

Bridges

Culverts

Retaining walls

Noisewalls

Tunnels

Traffic support

structures

SafetyHardware

Traffic signals

Highway lighting

Signs

Traffic barriers

ITSAssets

Cameras

Messagesigns

Ramp meters

Weather sensors

Traffic sensors

Multi-Modal

Stations/ terminals

Shelters

Rail lines

Ferryterminals

Non- Motorized

Sidewalks

ADA ramps

Multi-usepaths

Bike lanes

Other

Utilities

Fiber

Buildings

Park and ride lots

WIM sites

Rest areas

Storm-water

facilities

Pipeline crossings

Frost tubes

Example: Pavement Needs Analysis (Intermediate—Advanced Level) Agency C has an established pavement management system (PMS) and uses a video log/pavement assessment vendor to collect pavement inventory and condi�on data every other year on state-maintained routes. A variety of other data sets are integrated from other business units that u�lizethe agency’s common LRS for spa�al referencing: deflec�on test results, core samples, and soil characteris�cs. Geospa�al analysis is used to overlay the different data sets, develop uniform sec�ons for treatment applica�on and apply results of decision rules. Periodically, the PMS ownersin the central office conduct a review of the decision rules with district pavement engineers, using maps to display recommended treatments and to drill down to the characteris�cs that triggered them.Work candidates from the PMS are published through an automated process to the agency’s central GIS portal, where they can be viewed together with informa�on on deficient bridges and candidate safety improvements. District staff use this portal to scope projects that address mul�ple types of needs.

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Figure 9. Common Data Layers for Scoping and Priori�za�on (ROW = right of way, usRAP = United States Road Assessment Program)

Develop Programs The fourth asset management business process involves developing opmized, funding-constrained programs of construcon projects or maintenance acvies. It builds on the process of idenfying needs and work candidates but focuses on se�ng priories and making tradeoffs in order to maximize use of available funds. It also involves coordinang ming of work to take advantage of economies of scale and minimize impacts on road users. GIS can be useful within this process for integrang informaon that is used to set priories. For example, different ers of the road network could be established based on funconal class, traffic, and proximity to major generators. Spaal views of candidate projects can also be valuable for developing corridor approaches that address mulple assets—using a “get in, get out, stay out” approach. Spaal overlays of jurisdicon and legislave district boundaries can be used to assess geographic balance of a program. Map 4 illustrates a GIS capability for displaying asset deficiencies associated with different investment scenarios.

Usage

# lanes

Divided/ undivided

AADT

Truck traffic

Freight volume/ value

Projected growth rate

Bottlenecks

Safety

Serious injury &

fatality rate

Serious injury &

fatality rate - relative to

peer locations

Highway departure crashes

Clear zones

Safety score (e.g., usRAP star rating)

Function

Functional class

NHS

Freight routes

Evacuation routes

Priority network

Critical links

Environment

Land use

Elevations

Soils

ROW/ easements

Wetlands

Sensitive habitats

Mitigation sites

Critical areas

History

Emergency maintenance

requests

5 year maintenance expenditures

Asset install date/age

Last rehabilitation

date

Plans

Future developments

Programmed projects

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What can we achieve with a funding increase?

Map 4. Develop Programs

At the basic level, GIS is used as a tool to develop programs for individual assets and to display loca�ons of programmed projects for both internal and external communica�on purposes. At more advanced levels, GIS can be used to integrate and analyze a wide variety of informa�on used for priori�za�on, display results of tradeoff analysis (e.g., projects selected for programming under different cross-asset resource alloca�on alterna�ves), and iden�fy opportuni�es to coordinate work across asset classes. Table 5 presents a summary of the Basic implementa�on level and ac�ons that can be taken to advance use of GIS.

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Table 5. Using GIS to Develop ProgramsBasic Intermediate Advanced


SiloedIndividual businessunits assembleinforma�on oncurrent programmedprojects, candidatework for an individual asset type, basic traffic and road classifica�on informa�on (used toset priori�es within individual asset orprogram areas)

Assemble commonpool of geospa�alinforma�on useful for priori�za�on and program development: func�onal class/NHS, AADT, freight corridors, major generators, adjacent land use, historicalmaintenance costs, crash rates, etc.

CoordinatedEmbed GIS tools within financial and program management applica�ons—e.g., project locator tool Integrate informa�on useful for priori�za�on of work candidates across mul�ple assets and program areas—e.g., benefit/cost ra�o or impact measure

Analysis Basic & Ad-HocIndividual businessunits reviewloca�ons of exis�ng programmed and poten�al candidateprojects and plan ra�onal mul�-year work programs that have geographicbalance

Develop �erednetwork classifica�ons for priority se�ngReview maintenance history data to priori�ze loca�ons with high recurring maintenance costsAnalyze equity of program funding alloca�on

Powerful & EmbeddedDerive loca�on-specific data for priori�za�onand calculate priority scores for projects based on a variety of factorsReview loca�ons ofcandidate projects for different assets and iden�fy opportuni�es for project coordina�onDisplay projects and resul�ng system/asset performance based onbudget alloca�ons

Communica�on LimitedAgency produces maps ofprogrammedprojects and makes them available for internal and externalusers

Share maps ofproposed projects/M&O ac�vi�es for mul�ple program categories—using standard protocols for data integra�onDisplay completed and planned projects and performance results on mobile GIS apps—for execu�vestakeholder visits

Automated & ExtensiveCreate system performance maps for alterna�ve resource alloca�on scenariosCreate retrospec�ve view of performanceand investment trendsProvide public-facingweb applica�ons showing asset condi�ons and plannedprojects

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Manage and Track WorkThe final asset management business process involves scheduling, delivering, and tracking maintenance and construc�on work. This includes receiving and responding to work requests from customers, managing maintenance crews, coordina�ng contractor work schedules, and recording informa�on about completed work. The work tracking element of this process provides important informa�on that feeds into the prior four processes—it can be used to update asset inventory and condi�on informa�on, build knowledge about asset life cycles, iden�fy loca�ons with recurring reac�ve maintenance needs that may be candidates for rehabilita�on, and update “as built” loca�on informa�on for completed projects (which may vary from the “as planned” informa�on). Work tracking informa�on also supports agency accountability, allowing for detailed repor�ng of how funds were used. Map 5 illustrates a GIS capability for coordina�ng maintenance, construc�on, and u�lity work.

Example: Program Development (Advanced Level)Agency D has three separate management systems for pavement, bridge, and safety. Interfaces between these systems and the agency’s enterprise LRS have been established and nightly rou�nes keep the loca�on components of the data in these systems in sync.Candidate pavement, bridge, and safety projects are developed within the individual management systems. Results are then exported to a State Transporta�on Improvement Plan (STIP) applica�on for further analysis. The agency has developed a formula for priori�zing the candidate projects and the STIP applica�on provides the ability to conduct trade-off analyses across the asset classes. Through an itera�ve process, an agency-wide improvement program is established containing the projects to be completed over the following five years.

The programmed projects can be viewed and analyzed on a map, with op�ons for color coding byproject type, year programmed, funding type, and other variables. For each project, budgets,statuses, and mul�media such as design files, 3D models, diagrams, or work plans can be viewed.Informa�on is available to field personnel on tablets with loca�on-aware query capabili�es.

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Where do we need to coordinate work?

Map 5. Manage and Track Work

At the basic level, GIS can be used within individual business units to plan rou�ne and preven�ve maintenance work in an efficient manner and to keep track of the loca�ons of scheduled work. It can also be used to support rou�ng of work requests to the proper field office based on maps showingmaintenance responsibili�es by route sec�on. More advanced applica�ons of GIS involve real-�me applica�ons for asset monitoring and resource deployment (e.g., automated vehicle loca�on, road and bridge sensors), automated processes for analyzing work history informa�on, upda�ng asset inventory based on work completed, and preparing reports required for disaster recovery opera�ons.Table 6 presents a summary of the Basic implementa�on level and ac�ons that can be taken to advance use of GIS.

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Table 6. Using GIS to Manage and Track WorkBasic Intermediate Advanced


SiloedUnits responsible for work management have access to spa�alinforma�on onassets, programmedprojects, andmaintenance responsibili�es (district/regionboundaries, state-maintained facili�es)

Create standard process for loca�ng requested, scheduled, and completed maintenance workIntegrate informa�on on scheduled and completed work acrossprogram areas and districts/regions Integrate geo-tagged before/a�er photos for completed work

CoordinatedAuto-update master asset inventory based on work completedIntegrate enterprise resource planning (ERP) dataMonitor real-�me loca�on of maintenancevehicles/plowsMonitor real-�me road surface condi�on andmaterial applica�onGeo-reference “crowd-sourced” work requests

Analysis Basic & Ad-HocThe agency determines rou�ng of work to the appropriate work unit request based on loca�on informa�onAsset managers develop preven�ve maintenance schedules based on loca�on

Iden�fy problem areas based on clusters of responsive/emergencymaintenance needsReview planned work by loca�on toconsolidate contracts

Powerful & EmbeddedOp�mize assignment ofwork crews based onreal-�me informa�onIntegrate work history informa�on and analyze historicalmaintenance costs by asset and loca�onU�lize geo-referenced asset inventory data to facilitate post-disaster reimbursement and recovery planning

Communica�on LimitedThe agency creates sta�c maps that can be used for work planning—e.g., asset loca�on maps, district boundary maps

Produce consolidated map of planned maintenance, construc�on, and u�litywork to avoid conflictswith external ac�vi�es and avoid adverse customer impacts (e.g., from closing lanes on two parallel routes)Provide access to work history maps linked to before-a�er photos

Automated & ExtensiveProvide public access to real-�me maps ofroad condi�ons duringsnow or other extreme weather eventsProvide access to asset characteris�cs and work history on mobiledevices Automate requiredstate and federaldisaster recovery repor�ng

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Taking StockOnce an agency has considered how it is using GIS within each of the five core asset managementprocesses, the next step is to take stock of where the agency is and where it might want to pursue advancements. Table 7 provides a template for an at-a-glance picture of current capabili�es. For each cell, the appropriate informa�on in Tables 2 through 6 can be used to iden�fy what the agency isdoing now and assign the associated implementa�on level. Agencies can expand this template toinclude addi�onal notes on ac�ons that can be considered to further leverage GIS capabili�es within asset management business processes and to lead business units for each ac�on.To obtain a balanced perspec�ve on current capabili�es, the agency may want to consult with several different individuals responsible for different asset classes, as well as with representa�ves of program development, financial planning, maintenance management, and GIS func�ons. A group can beconvened to walk through the matrix, or responsibility for different cells can be parceled out to different individuals and then consolidated. Once the results are compiled, they can be reviewed to iden�fy pa�erns. For example, an agency may be Advanced with respect to integra�ng informa�on with GIS, but not yet at a Basic level when itcomes to analyzing and communica�ng the informa�on. This may indicate that the agency can squeeze more value out of its spa�ally-enabled data. Alterna�vely, the agency may have made good progress in the first TAM business area, but not in others. This means that it hasn’t yet tapped into some of the most promising areas for using GIS within TAM that can impact investment decisions.

Example: Maintenance Management (Advanced Level) Agency E uses a computerized maintenance management system (CMMS) that has work loca�ons automa�cally populated from the agency’s pavement, bridge, safety, conges�on, sign management, and traffic signal management systems. Work orders for tasks to be completed by agency personnelare generated and queued to the appropriate division or district managers. Managers have the capability to assign tasks with priori�es to individuals or crews. The field personnel are then no�fiedthrough queues of assigned work and can prepare work schedules and use automated rou�nes thatop�mize routes to task loca�ons based on priori�es.Field personnel use a tablet-based module of the CMMS to indicate ac�ve assignments and to trackequipment use and �me spent on tasks. The tablet-based module includes the ability to include before-and-a�er photographs of the site to document work accomplished as a part of work records. At the end of each shi� or when network connec�on is available, data from the tablet is transferred to a web-based tracking system. From this system, managers can monitor work through interac�ve maps, create reports on produc�vity, or assign and change task responsibili�es.

Informa�on on completed work is communicated back to each management system. Thisinforma�on is then used in analyses to more accurately schedule and budget future projects.

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Table 7. GIS for TAM at an Agency: At-a-Glance Assessment

Asset ManagementBusiness Process

Informa�on Integra�on Analysis Communica�on

Understand the State of the Assets

Current Level:______



Assess and Manage Risks Current Level:______



Iden�fy Needs and Work Candidates




Develop Programs Current Level:______



Manage and Track Work Current Level:______



Assessing the Agency’s GIS FoundationWhile the focus of this guide is on applica�ons of GIS within TAM, it is important to recognize that lack of a basic infrastructure for GIS can be a significant barrier to making progress in the asset management arena. Conversely, a strong GIS founda�on can greatly facilitate implementa�on of GIS applica�ons in support of TAM. Therefore, if the agency is not at the Advanced level for most categories in the summary assessment, it is worth considering whether the overall GIS program in the agency needs some a�en�on. The checklist in Table 8 can be used to assess the strength of an agency’s GIS founda�on—independent of how GIS is being used within TAM.

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Table 8. Checklist: GIS Founda�on

This checklist for assessing an agency’s GIS founda�on considers four major areas: (1) the overall organiza�onal infrastructure for GIS, (2) the presence and use of founda�ongeospa�al data and standards, (3) the established technology infrastructure, and (4) GIS skills and training func�ons.

Agency-Level GIS FunctionManagement support, policy development, strategic implementa�on framework, and standard protocols for decision making and communica�on regarding geospa�al data:

Execu�ve-level and division manager understanding of GIS value and support for its use in the agency Designated business unit(s) with agency GIS planning and support responsibili�esCoordina�on and communica�on mechanisms across agency units responsible for managing spa�al data—for example, regular mee�ngs, website, standard protocolfor adding new data layers Coordina�on and communica�on mechanism between agency GIS lead and externalorganiza�ons (e.g., statewide geospa�al agency, external spa�al data providers) GIS Strategic Plan used to guide investments—regularly updated to reflect technologyadvances (e.g., mobile GIS, cloud solu�ons)

Geospatial Data and StandardsFounda�on geospa�al data and an architectural framework for building on this founda�on:

Comprehensive road centerlines, covering all agency-maintained roads, includingramps, with dual centerlines for divided roads A standardized, common agency LRS—iden�fying route names and street names,including overlapping routes and specifying official lengths/measures Support for mul�ple loca�on referencing methods (LRMs) to accommodate datacollected using GPS devices as well as using linear references such as mile markers oroffsets from county boundaries Central library of GIS data resources with a regular, well-defined upda�ng process and schedule—including jurisdic�onal boundaries, parcel boundaries, address points, eleva�ons, hydrography, ortho-imagery, land use, socioeconomic and environmental data, etc.A standard integra�on architecture for linking agency GIS and LRS data to business data systems A standard approach to iden�fying and represen�ng assets and their a�ributes froma geospa�al data modeling perspec�ve Formalized procedures and toolsets for upda�ng road centerline and LRS data toreflect network changes Standards and processes for managing, viewing, and analyzing spa�ally-referencedbusiness data sets as changes to loca�on referencing informa�on occur (temporal loca�on data management)

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Tools and TechnologiesEstablished approach to providing the hardware and so�ware required for agency staff to make use of GIS capabili�es:

Centralized licensing for GIS database and applica�on so�ware—including desktop,web, and cloud-based tools as appropriate Geospa�al data viewer applica�on providing agency-wide (and external) access toshared data setsGIS data clearinghouse—with downloadable data files Formalized procedures and toolsets for LRS maintenance to reflect road network changes Techniques for overlaying spa�al data associated with different versions of the LRS asit has changed over �me (e.g., due to road realignments) GPS data collec�on standards (see Appendix A for examples) Standard tools for viewing and expor�ng data related to a user-specified loca�on(e.g., county, district, route, or route sec�on)Standard tools for geocoding Standard tools to translate across different LRMsStandard tools for field data collec�on and quality assurance Mobile apps for accessing agency’s geospa�al dataMobile apps for issue repor�ng

GIS Expertise, Training, and User SupportEstablished training and support services to help staff make full use of GIS capabili�es.

Ac�ve GIS user group with regular mee�ngs/communica�onsSkills and exper�se for geospa�al data management and applica�on developmentStandard process for GIS tool deployment and customiza�onGIS user training courses made available to staffGIS exper�se included in posi�on descrip�ons where data management/analysis is required

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Using the Assessment Results: Developing an Overall StrategyA high-level strategy for moving forward can be developed based on (1) the agency’s current level of GIS/TAM Implementa�on (summarized in Table 7) and (2) the strength of the agency’s current GIS founda�on (determined based on the checklist in Table 8). General guidelines for developing a strategy are illustrated in Figure 10 and discussed below.

Blook for costsavings fromcentralized func�ons

D con�nue

improvements & seek efficiency gains

A find easy wins, shore up the agency GIS founda�on

C assess barriers and pursue high payoff

opportuni�es

Figure 10. Quadrant View of GIS/TAM Capabili�es

Figure 10 presents a “quadrant” view that can be used to iden�fy a high-level strategy for moving forward with GIS/TAM capabili�es. It has two dimensions: strength of the agency’s overall GIS founda�on on the horizontal axis, and level of GIS/TAM implementa�on on the ver�cal axis. Agenciesin the lower le� quadrant (labeled “A”) are at the ini�al stages of both agency GIS and applica�ons of GIS for TAM. Agencies in the upper right quadrant have advanced GIS capabili�es in place for TAM, res�ng on a solid general agency GIS founda�on. Agencies can assess where they are on the horizontal axis based on the discussion above (Assessing the Agency’s GIS Founda�on). Agencies can assess were they are on the ver�cal axis based on the results recorded in Table 7.

For Agencies with a Relatively Weak GIS Foundation It is always possible to make progress in specific areas of asset management without a strong enterprise GIS func�on in place. However, lack of a basic GIS infrastructure (hardware, so�ware, standards, architecture, compiled geospa�al data sets, exper�se) means that there will be more of a burden on each individual ini�a�ve—to create and manage data, and to develop tools. Some�mes itmakes sense to accept these burdens in order to move forward, but it is important to recognize that at some point lack of agency-wide infrastructure and standards is likely to become a barrier toprogress. In addi�on, lack of agency-wide coordina�on results in inefficiencies, with individual work

Strength of Agency GIS Founda�on

Level of GIS/TAM Implementa�on

Low High

High

Low

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units “reinven�ng the wheel” or moving in different direc�ons. This makes it difficult to integratedata across units.Given that founda�onal ac�vi�es (e.g., establishing a shared centerline data set for state and local roads) can take mul�ple years, agencies can pursue a parallel track to undertake some specific asset management ini�a�ves while working to strengthen overall agency capabili�es.Quadrant A: Basic (or Below) Level of GIS/TAM Implementa�on. If an agency has not yet reached the Basic level of GIS/TAM implementa�on, it is star�ng with a blank slate. The agency can begin by iden�fying an area in which it can demonstrate success with a rela�vely modest effort. It can select one of the “basic” capabili�es for which spa�ally-referenced data are available and the poten�al exists to add value through analysis or communica�on. For example, an agency can begin producing and sharing maps showing pavement or bridge condi�ons. This early success can then be used to build broader support within the agency for a more comprehensive approach to using GIS within asset management. If an agency checked Basic in most areas, this means that it hasachieved some success in using GIS for TAM within individual business units, but have not yet transi�oned to a more holis�c, agency-wide approach. The fact that the GIS founda�on is rela�vely weak signals the need to iden�fy where lack of standards, so�ware, applica�ons, or exper�se may beinhibi�ng further progress.Quadrant B: Intermediate or Advanced Level of GIS/TAM Implementa�on. If an agency checked a mix of Intermediate and Advanced in most areas of TAM, this means that they have taken advantageof GIS capabili�es within and across business units, and have automated geospa�al analysis and data integra�on func�ons. However, given the weaker GIS founda�on, there are likely to be cost-savingopportuni�es through centralizing certain func�ons (e.g., road network and geospa�al data maintenance or geospa�al applica�ons development and support). It may be possible to usesuccesses within individual business units as a springboard for strengthening overall agency GIS func�ons.

For Agencies with a Relatively Strong GIS Foundation A strong agency GIS founda�on makes it easier to advance GIS capabili�es for TAM since available tools, technologies, data sets, and exper�se can all be leveraged. Agencies in this posi�on can step back and develop a broad vision for how they wants to use GIS across different TAM func�ons. Thiscan be integrated with development or updates to a Transporta�on Asset Management Plan (TAMP).GIS elements can be incorporated within this plan to describe ways in which spa�al data integra�on, analysis, and communica�on will be used to strengthen TAM business processes.Quadrant C: Basic (or Below) Level of GIS/TAM Implementa�on. If an agency is not yet at the Basiclevel, it should recognize the poten�al for making rapid progress given the availability strong exis�ng GIS resources. The agency is in a posi�on to look broadly at opportuni�es for enhancing its asset management prac�ces using GIS and to iden�fy some first ini�a�ves that can leverage exis�ng GIS tools and data. If an agency is at the Basic level of GIS/TAM implementa�on, it has made progress insome areas and it may be �me to assess exis�ng impediments to a more comprehensive approach. Iden�fying specific opportuni�es for moving forward and preparing a strong business case can help to gain the necessary level of management engagement and leadership for success.Quadrant D: Intermediate or Advanced Level of GIS/TAM Implementa�on. The agency is in a strong posi�on, and should con�nue to seek opportuni�es for con�nued advancement of capabili�es whileimproving efficiencies.

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3. Evaluating Initiatives for Advancing Capabilities

Options for Moving Forward A�er assessing the agency’s current capabili�es and determining a high-level strategy for how toproceed, the next task is to develop and secure support for a plan of ac�on that:

Supports the •

••

•

•

•

•

•

agency’s asset management business processes—making them more efficient and effec�ve; Is realis�c given the agency’s budget and exis�ng technology, data, and staff resources; andIncludes ini�a�ves that can be expected to have benefits exceeding their costs.

Depending on the agency’s situa�on, there may be different ways to approach this task:

Comprehensive: develop a comprehensive GIS/TAM plan—perhaps as an element of the agency’s TAMP—that looks across all assets and all of the TAM business processes, iden�fies a vision for how GIS will be used, establishes founda�onal standards and policies, and iden�fiesa phased set of ini�a�ves to advance capabili�es.Pilot: develop a pilot project that addresses a current agency pain point or focus area for the agency’s execu�ve leadership. Incremental: Focus on low-cost, incremental ac�ons to be�er leverage the agency’s current data and GIS technologies—for example, crea�ng a series of decision maps using available data. Targeted—Internal: Target effort on ac�ons that will achieve a no�ceable impact within a single TAM business area—for example, implemen�ng a spa�ally-enabled work management and tracking func�on.Targeted—External: Focus on the external communica�on element of GIS to strengthen the agency’s rela�onship with stakeholders and customers—for example, publish a set of maps showing the agency’s projects, or provide a mobile app showing plans for road resurfacing.

Table 9 lists ini�a�ves that can be carried out as part of one of the approaches listed above. These ini�a�ves are organized by the five TAM business processes. For each ini�a�ve, the type(s) of GIS use (Informa�on Integra�on, Analysis, and/or Communica�on) are iden�fied. In addi�on, the implementa�on level (B = Basic, I = Intermediate, A = Advanced) that the ini�a�ve represents isindicated—though some ini�a�ves are broadly defined and can fit with mul�ple levels. Finally, some of the key support elements required for implementa�on are noted. Once candidate ini�a�ves areiden�fied, agencies can use the guidelines that follow to develop a business case that ar�culates objec�ves and considers benefits, costs, and risks.

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Table 9. GIS/TAM Ini�a�ves

GIS Use Level Ini�a�ve Support Elements


Info Integra�on B New asset inventory and inspec�on program (single asset)

Field data collec�on hardwareand so�ware (or by contract)

Info Integra�on I New asset inventory and inspec�on program (mul�ple assets)

Common LRS

GPS standards

Info Integra�on A CAD to GIS asset extrac�on post construc�on

CAD standards

So�ware tools

Info Integra�on,Communica�on

A Mobile applica�on for retrievaland/or update of asset informa�on

Data access and upda�ng protocol

Mobile device integra�on

Analysis, Communica�on

B Mapping of asset inventory, inspec�on, and condi�on—ad hoc

Desktop or web-based GIS tool

Analysis, Communica�on

I-A Mapping of asset inventory, inspec�on, and condi�on—interac�ve (with query and analysis func�ons)


Data upda�ng protocols

Analysis A GIS-based inspec�on planning and rou�ng tool

Inspec�on planning/rou�ng tool

See Figure 8 for a list of assets that agencies may consider tracking in GIS.

Assess and Manage Risks

Info Integra�on, Analysis,Communica�on

B Basic risk mapping—asset condi�on versus acceptable level, consequences represented byroad classifica�on, traffic data

Asset management systemmapping capability


I-A Advanced risk mapping and analysis—integra�ng other agency and external data sets: detour lengths, popula�on, land use, flood zones, eleva�ons, seismic ac�vity, etc.


Analysis so�ware

See Figure 7 for a list of GIS data layers that may be helpful for risk assessment.

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B Basic mapping of need categories and candidate projects—single asset/business area

Desktop or web-based GIS toolor integrated GIS func�on within asset management system


I-A Decision maps—integra�ngmaintenance history, traffic,weather, soils, and otherper�nent informa�on from authorita�ve data sources

Desktop or web-based GIS toolwith query and analysiscapabili�es

Common LRS

GIS data repository/stewardship program

Data sharing and QA protocols


I-A Automated interac�ve decision maps for developing work candidates/project scopes that account for mul�ple needs—pavement, bridge, safety, drainage, etc. (can range from basic mapping of needs to automated project loca�oniden�fica�on based on overlays)


Common LRS

GIS data repository/ stewardship program


See Figure 9 for a list of GIS data layers that may be useful for priori�zing work candidates.

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Develop Programs


B Ad-hoc mapping of candidate and exis�ng programmed work for a given asset category overlaid onroad classifica�on and AADT range —distribu�on to business units(headquarters and/or field) toassist with priori�za�on

Desktop or web-based GIS viewer or integrated GIS func�on within asset management system


B Maintain updated map of current asset rehabilita�on/replacement/ improvement program—makeavailable for internal and external use


Common LRS

Business process to a�ach standard spa�al referencing to programmed projects



I-A Automated interac�ve decision maps showing work candidates from mul�ple asset categories—op�ons to view a variety of data layers useful for priori�za�on and iden�fica�on of work coordina�on opportuni�es;calculate priority scores based on spa�al data


Common LRS

GIS data repository/ stewardship program


Analysis,Communica�on

A GIS-based scenario analysis tool—display which projects would be done under varying budget alloca�ons; show resul�ng asset condi�on

Custom applica�on integra�ng asset management system(s) and GIS tools

Common LRS


Communica�on I-A Web and mobile GIS apps for communica�ng the data driven process behind project selec�on

Web and mobile GIS tools with simple query and display capabili�es

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Manage and Track Work


B Develop, maintain and share map of maintenance responsibili�es by route sec�on—use to route work requests to the appropriate DOT unit or contractor

Data upda�ng protocols



B GIS-based maintenance scheduling and tracking for a single asset (e.g., bridge washing or sign replacement)

Asset/maintenancemanagement system withintegrated GIS

Mobile GIS applica�on and hardware


I-A GIS-based maintenance scheduling and tracking for mul�ple assets—with advanced GIS capabili�es for scheduling, preven�ve maintenance planning, ac�vity coordina�on, automated inventory upda�ng

Asset/maintenancemanagement system withintegrated GIS—single system handling mul�ple assets or integra�on across mul�ple systems

Mobile GIS applica�on and hardware

A Automated vehicle loca�on (AVL)capability for asset maintenancevehicles/crews with real-�me tracking and archived data for analysis

AVL system hardware and so�ware, related database repor�ng and analysis tools

Data transfer protocols

Building a Business Case for GIS/TAM InitiativesSome of the ini�a�ves in Table 9 can be put into prac�ce rela�vely easily; others may requireinvestments and coordina�on across different work units. Any ini�a�ve falling into this la�ercategory will likely require a persuasive business case to move forward. The business case must address the ques�ons: How will this help our agency, and what will it cost? For major ini�a�ves, a projected return on investment (ROI) analysis can be conducted to determine high-value implementa�on areas, priori�ze tasks, and determine feasibility. ROI requires the iden�fica�on and quan�fica�on of costs and benefits over the implementa�on �meframe. Figure 11 illustrates a methodology for establishing the business case for GIS/TAM investments. The elements of this methodology can be used to assess ROI.


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Figure 11. Building a Business Case for GIS/TAM Investment

Step 1: Articulate the Business Need

What do you want to achieve?The first step in developing a business case is to establish a statement that communicates what the agency expects to accomplish. The idea for the ini�a�ve may have arisen from anywhere within the agency; however, defining the need is a collabora�ve effort of key managers and staff that will be responsible for implemen�ng and living with the results of the effort.

Example statements of business need for a GIS/TAM ini�a�ve are:

Data-driven decision making—Asset program managers and district staff need to have easy access to a variety of per�nent informa�on in a spa�al context that helps them to op�mize

•

•use of available resources and select the right project in the right place at the right �me. Loca�on awareness—In order to effec�vely scope, plan, and priori�ze their work, maintenance engineers and construc�on project managers need the capability to find out everything about a given loca�on—what assets are there, their condi�on, what capital and maintenance work is planned, what work requests have come in over the past year, what the traffic pa�erns are, crash rates, etc. This will require the agency to standardize loca�on

6. Summary

Return on Investment Intangibles

5. Risks Organiza�onal

ChangesTechnology

Changes Cost Uncertainty Benefit Uncertainty

Funding/Support Uncertainty

4. Benefits

Efficiency Effec�veness

3. Costs

Staff Labor Services Hardware/So�ware Data

2. Op�ons

Scope Timeframe/ Phasing Technology Delivery Centralized/

Decentralized

1. Business Need

Mo�va�on Vision

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referencing across different informa�on systems and provide tools for querying a variety ofinforma�on based on loca�on.Situa�onal awareness—Field offices need the capability to track their equipment in real �mein order to respond more quickly to needs and deploy resources more efficiently.Efficient data integra�on—The agency needs to reduce “islands of informa�on” by providingthe ability to integrate asset inventory, inspec�on, project, traffic, and safety data sets geospa�ally. This will eliminate the need for costly efforts to remedy issues of inconsistent (or non-existent) spa�al referencing.Transparency —The agency needs to meet today’s expecta�ons for transparency and accountability by sharing detailed informa�on about asset condi�on and planned work with stakeholders and the public. Improved Program Development—The agency’s program development team needs to consider how best to allocate available resources to manage risk. They need to understandthe implica�ons of different funding scenarios to help the agency allocate resources in the best possible way. They need the capability to quickly produce compelling and meaningfulspa�al visualiza�ons of how these scenarios will impact the highway system over �me.

Washington State DOT (WSDOT)—Business Problems to Be Addressed by Asset Management Informa�on System Improvement/Replacement (2009)Lack of support for geospa�al referencing—Loca�ng assets or events on the transporta�on network is more difficult as a result of a lack of geospa�al referencing capability in the current Transporta�on Informa�on and Planning Support System (TRIPS) LRS. This complicates providing a range of management informa�on to users based on geographic parameters including financialinforma�on by poli�cal or jurisdic�onal boundaries. It also creates the poten�al for incorrectassignment of project expenditures and taxes to jurisdic�ons and programs.Poten�al for delays and quality issues in providing informa�on to stakeholders—Due todifficulty and length of �me required to obtain informa�on from current systems; lack ofintegra�on across systems leads to poten�al for mul�ple answers or versions of the truth depending on which systems are used to obtain the informa�on.Lack of cri�cal func�onality needed to deliver programs—Much informa�on about asset inventory and asset condi�ons, relevant to planning, programming, and project management, requires research in mul�ple systems or is not readily available in any WSDOT system.Asset inventory is stored in mul�ple systems, impac�ng the department’s ability to manageassets from an enterprise perspec�ve—Comprehensive access to this informa�on for planning, accountability, and performance repor�ng is very difficult. This limits the department’s ability toimplement an enterprise asset management business model.

Source: [5]

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How does this fit with the agency’s current GIS capabilities?In establishing the business need for a new GIS-related ini�a�ve, it is helpful to consider how the ini�a�ve fits into the larger context of current agency capabili�es. If there is a GIS strategic plan inplace, how will this ini�a�ve support the elements of that plan? If a strategic plan has not been developed, it is worthwhile to assess strengths and weaknesses of agency GIS capabili�es and formulate objec�ves for the ini�a�ve that take these into account. For example, if the ini�a�ve’ssuccess depends on existence of standards or capabili�es that are not well established, these will need to be addressed in the project plan. The ini�a�ve may provide an opportunity to pilot new technologies or methods that can later be more widely deployed—but the costs of forging new territory will need to be an�cipated.

Asset Management Strategic Plan—Using GIS to Support TAM Strategic Goals (Oregon DOT)Strategic Goals for TAM

Foster integrated, strategic decision making.Sustain or establish a reliable statewide asset inventory.Build a fully integrated data system.Create integrated repor�ng and analysis tools.

GIS Ini�a�ves:

GIS-based TransInfo Tool—management of highway inventory and loca�onreferencing.GIS-based FACS-STIP Tool—web-based viewer for asset informa�on.

Desired Outcomes from GIS Ini�a�ves:

Eliminate need for one-�me, redundant asset data collec�on efforts by providing pla�orm for collec�ng and sharing asset data.Consolidate data maintenance efforts. Leverage exis�ng investments in GIS data and licensing to benefit the en�re department.

Source: [6]

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Step 2: Define Options for Meeting the Business Need Before moving forward with analyzing costs and benefits of the proposed ini�a�ve, it is useful to define alterna�ve ways of mee�ng the need. At a minimum, a “do nothing” op�on should be considered in order to provide a baseline for comparison. Other op�ons for defining lower-cost alterna�ves could involve:

Varying the scope—in terms of which assets or which por�ons of the network are included.

Varying the �meframe—how capabili�es will be phased in over �me.

Varying the tools—relying on exis�ng tools, enhancing exis�ng tools, or moving to new tools.

Varying the delivery approach—performing all or a por�on of the effort in-house or outsourcing the en�re effort.

Varying the implementa�on approach—pursuing a decentralized approach that equips work units with tools and relies on standards for consistency versus pursuing a centralizedapproach.

Example: Business Need for a Geospa�ally-Enabled Sign InventoryState DOT “A” is responsible for installa�on and maintenance of approximately 100,000 signs on its state roadway network. Sign maintenance is managed at the district level. Some districts do not keep an inventory; others track sign loca�on using spreadsheets or desktop database tools. Districtinventories use varying methods to locate signs—including GPS coordinates, and route-countymilepoints. As central office traffic engineering staff considered op�ons for implemen�ng a new program to maintain minimum retroreflec�vity standards, they found it very difficult to obtain goodinforma�on about the exis�ng sign inventory. They requested informa�on from each district, and were able to piece together some es�mates of the number of signs by install date, type, and route, but the accuracy of the data was not high and gathering the data was a �me-consuming effort for all involved. This experience led to a proposal for implemen�ng a comprehensive sign inventory.

Central office traffic engineering staff met with district staff to understand their needs, and then with members of the GIS group in the planning division to discuss this ini�a�ve. GIS staff had recently assisted with deployment of another inventory applica�on and suggested that this ini�a�ve might piggyback on this earlier one. They also discussed how to leverage exis�ng GIS database andapplica�on so�ware. Based on these mee�ngs, the following objec�ves were established for the ini�a�ve: Objec�ves

1. Obtain informa�on on sign type, loca�on, and installa�on date that can accessed across the department and used for:

Statewide analysis of different inspec�on and maintenance op�ons.

Statewide analysis of different sign replacement cycles.

District management of sign inspec�on and replacement ac�vi�es.

Safety analysis.

2. Make sign informa�on easily accessible throughout the organiza�on.3. Leverage available tools and technologies.

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In defining op�ons, it is advisable to survey current technology op�ons and consider opportuni�es that may not have been available when the agency implemented its current applica�ons or toolsets. For example, many agencies are cu�ng costs by adop�ng cloud-based solu�ons, and crowd-sourcing development of mobile applica�ons that provide self-service GIS capabili�es for non-GIS experts.

Step 3: Identify Costs for Each Option The next step is to produce planning-level es�mates of the costs for each op�on. An agency should es�mate both ini�al costs and ongoing annual costs once the ini�a�ve or project is complete. Given the variety of poten�al ini�a�ves that the agency may be considering, only general guidance on cos�ng is provided here. Costs consist of hardware, so�ware, personnel, technology support, and vendor costs. Personnel and external vendor support costs are typically the larger component and include the ini�al development and ongoing support.

Specific cost components to consider include the following:Labor and services.Project management.Planning and requirements development. Policy, procedure, and standards development. Custom map development/configura�on. Data collec�on and upda�ng. Applica�on development, customiza�on, or interface development. Hardware/so�ware. So�ware licensing—for desktop, web, cloud, and mobile GIS solu�ons, data integra�on, and repor�ng tools.

Example: Alterna�ves Defini�on for a Spa�ally Enabled Transporta�on Improvement ProgramState DOT “B” has a robust annual and mul�-year program development process with both decentralized (district-level) and centralized components. Prior to publica�on of program updates, the agency’s GIS staff updates a map that shows project loca�ons. This update occurs annually, and is very�me consuming because project loca�ons are not consistently entered into the program database system.

The agency’s public informa�on office has received many comments from stakeholders about theaccuracy of the program map. They have asked the programming division to create a more dynamic map view that allows the public to obtain up-to-date informa�on about project scope, schedule, budget, and cost.The programming division defined several alterna�ves for inves�ga�on:

1. Con�nue the current process—supply more recent informa�on about projects to stakeholders as inquiries come in.

2. Require entry of project loca�ons using a standard method for loca�on referencing—enforce through the program database entry screens or through workflow rules that prevent fundingapproval when loca�ons are missing—and switch to a quarterly map update process.

3. Same as 2, but also add a project mapping tool to the program database system in order to facilitate capture of project loca�ons.

4. Same as 3, but automate the mapping process so that maps can be dynamically updated fromthe program database.

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Tablets or smartphones for field data collec�on and access. Server upgrades or purchases. Plo�ers/printers. AVL technology deployment. Data. Spa�al data set purchases or licensing. Data storage costs. Field data collec�on.Data conversion or quality improvement (staff and/or consultant labor).

Given rapid changes in technology, the best way to obtain a reasonably accurate idea of costs is tocheck in with peer agencies that have recent experience with ini�a�ves similar to those an agency isconsidering. Useful resources for finding out who is doing what include:

GIS-T Roll Call of States and Conference Proceedings—h�p://www.gis-t.org/. FHWA GIS in Transporta�on Webcast Series—h�p://www.gis.�wa.dot.gov/webcasts.asp.URISA Annual Conference Proceedings—h�p://www.urisa.org/.FHWA, AASHTO, and TRB Asset Management Conferences, Webinars, nd Peer Exchanges—see announcements on the TRB Asset Management Commi�ee web site(h�ps://sites.google.com/site/trbcommi�eeabc40/), the AASHTO Subcommi�ee on Asset Management website (h�p://tam.transporta�on.org/Pages/default.aspx), and the FHWAOffice of Asset Management website (h�p://www.�wa.dot.gov/asset/).

Step 4: Identify Benefits of Each OptionWhether an agency is looking broadly across its en�re set of TAM func�ons, or has zeroed in on a specific area, it is important to build on a statement of business need and iden�fy specific benefits tobe achieved through advancing use of GIS. Two types of benefits can be dis�nguished:

Efficiency Benefits—reducing the �me or cost to complete a given task or work process. Effec�veness Benefits—improving the agency’s capability to produce a desired set of outcomes and manage risk.

In short, to quote the well-known management expert Peter Drucker, “Efficiency is doing things right; effec�veness is doing the right thing.”

Efficiency BenefitsEfficiency benefits associated with GIS/TAM ini�a�ves may include staff �me savings from:

Automa�on of mapping tasks that were previously done manually; Reduced needs for on-site data collec�on and inspec�on—e.g., engineer or planner reviews videolog and recent inspec�on history for assets along a corridor; Faster access to and analysis of informa�on required for special studies, and response to internal management and external requests—e.g., rather than a week-long project to find, acquire, transform, and load data, analysts use central GIS portal; Automated integra�on of data required to load management systems; Streamlined business processes for work order crea�on, inspec�on, and work recording—elimina�on of paper, automated transfer of data rather than re-entry; and Streamlined management of external work requests—e.g., geo-located work requests generate inspec�on work order.

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They may also include:

Reduc�on in so�ware licensing costs (e.g., through shi�ing to cloud or so�ware-as-a-service•

•

•

•

approaches) andReduc�on in asset maintenance costs through ini�a�ves that provide informa�on that can be used to op�mize deployment of maintenance resources—quan�fied based on reduc�on of down �me and deadheading.

There are two ways to approach analysis of efficiencies:

Current products and services as the baseline. In this approach, an agency assumes no fundamental changes in the quan�ty or quality of products and services provided by the agency’s business units. The agency es�mates the current level of resources to produce these products and services. Then, it develops a scenario in which it has implemented a GIS/TAM improvement and es�mates the level of resources required to produce these same products and services. Efficiency benefits from the GIS/TAM ini�a�ve are equal to the difference in cost between the current or status quo situa�on and the scenario in which the agency has implemented the ini�a�ve.Improved products and services as the baseline. In this approach, an agency defines a new target level of products and services that it wants to provide. The agency defines two scenarios—one in which the improvements are provided without the GIS/TAM ini�a�ve, and a second in which the improvements are provided with the GIS/TAM ini�a�ve. Efficiency benefits from the GIS/TAM ini�a�ve are equal to the difference in cost between the two scenarios.

Efficiency Benefits—Using Current Products and Services as the BaselineState DOT “C’s” pavement management unit currently prepares an annual “state of the pavements” report with a map for each district showing pavement condi�on, using desktop GIS tools to prepare the maps. It currently takes a total of 40 hours of a skilled GIS professional toexport data from the PMS, import it into a GIS database, manually fix loca�on errors, create the maps, and format output for the report.

They es�mate that they can cut this �me down to one hour by developing a standard mapping func�on to produce the maps directly from their PMS, and enhancing the QA process for PMS data loading to check for valid loca�on informa�on.

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Effectiveness BenefitsEffec�veness benefits from GIS/TAM ini�a�ves are due to improvements in decision support capabili�es. By integra�ng and analyzing data spa�ally and presen�ng it in an effec�ve manner, the quality of informa�on available to decision making is improved. Presumably, this enables be�er decisions that, in turn, result in lower risks, lower life-cycle costs for assets, and improved customerservice. Addi�onal effec�veness benefits are associated with increased agility in responding toexecu�ve and stakeholder queries and increasing communica�on capabili�es, enhancing the agency’s reputa�on.Effec�veness benefits are generally more difficult to quan�fy than efficiency benefits. However, thefollowing types of benefits can be quan�fied based on stated assump�ons about how the new GIS/TAM capability might be expected to affect decision making:

Safety improvements—if capabili�es are used to be�er integrate safety considera�ons into project scoping and priori�za�on processes, agencies can es�mate an effec�veness benefit

•

•

•

•

based on risk reduc�on—quan�fied by projected decrease in the rates of fatali�es, injuries, and property-damage crashes associated with the improved capabili�es.Asset treatment selecon—if capabili�es are used to iden�fy and priori�ze op�malinterven�on points for preven�ve and restora�ve maintenance, agencies can quan�fy benefits based on risks of applying the wrong treatment—either too much (wasted resources for unnecessary work) or too li�le (deficiency reappears and needs to be re-addressed prior to normal life cycle for treatment). Agencies can also es�mate reduced failure risks for cri�calassets, poten�ally leading to lower insurance costs.Construcon costs—if capabili�es are used to improve project scoping and to avoid delaysand change orders associated with the late discovery of new informa�on, agencies can es�mate an effec�veness benefit based on average cost reduc�ons for some percentage of projects.Project coordinaon—if capabili�es are improved to avoid conflicts across projects or maintenance ac�vi�es—e.g., coordinate paving and u�lity projects; avoid closing a main and alterna�ve route at the same �me; benefits can be quan�fied based on cost savings from combining projects rather than doing them separately, and reduc�ons in lane closures and associated user costs.

Efficiency Benefits—Using Future Products and Services as the BaselineState DOT “D” would like to begin producing decision maps for each district to help it scope rehabilita�on projects, taking into account traffic, crashes, pavement and bridge condi�on, and results of safety studies. They define two op�ons for producing these maps: (1) a manual op�on in which an analystdownloads data from mul�ple systems and uses a desktop GIS tool to produce the maps andemail PDF versions to each district; and (2) an automated op�on in which the relevant data layers are pulled in to a central GIS portal and a custom map view is set up to show the informa�on of interest.

They es�mate that for scenario 1, it would require 100 hours of effort to produce maps each�me (once a year). For scenario 2, they es�mate roughly 16 hours of effort per year to handle adjustments to data sources and updates to the standard maps.

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Summary of Efficiency and Effectiveness Benefits by TAM Business Area Table 10 summarizes the types of benefits that can be achieved through using GIS for TAM.

Table 10. Value Added by GIS-TAM Capabili�es

Business Area—Func�on

Efficiency—“Doing Things Right” Effec�veness—“Doing the Right Thing”

UnderstandState of the Assets—GIS Data Collec�on

Lower data collec�on costs by:

Collec�ng mul�ple assets in a single data collec�on effort

Automa�ng loca�on assignment using standard methods and tools

Op�mizing inspec�on rou�ng

Using mobile devices loaded with exis�ng inventory to speed collec�on

Reduce risk of injury to data collec�on personnel by:

Using in-office GIS tools for asset extrac�on from video orLiDAR data

Improve accuracy of informa�on, reducing risks associated with decisions based on faulty informa�on, and maximizing value for decision making by:

Using GPS to accurately capture loca�on informa�on

Using GIS to aid in quality assurance—visualize data gaps and anomalies

Understand the State of the Assets—Mapping and Communica�on

Reduce staff �me by:

Providing self-serve maps that cut down on the need for staff to fulfill special informa�on requests and allow new staff members (and consultants) to quickly get up to speed

Automa�ng mapping tasks currently accomplished on an ad-hoc, manual basis

Improve awareness of asset condi�onacross the agency by:

Providing a rich, easily accessible data source integra�ng imagery, asset characteris�cs, and condi�on

•

•

•

•

•

•

•

•

•

•

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Efficiency— “Doing Things Right” Effec�veness—“Doing the Right Thing”

Assess and Manage Risks—Risk Analysisand Disaster RecoveryPlanning

Facilitate disaster recovery by:

Providing a readily available •data source on asset type, loca�on, and condi�on

Lower agency risk exposure to asset failure by:

Developing and using a robust informa�on base for risk assessment and mi�ga�on

Lower insurance costs through:

Demonstra�ng use ofpreven�ve maintenance to lower failure risks for cri�calinfrastructure


Reduce staff �me needed for data manipula�on and analysis by:

Speeding integra�on of data from different sources using spa�al overlays and automated par��oning/aggrega�on oflinearly referenced data

Providing a pla�orm for collabora�on—common view of informa�on across mul�plework units—elimina�ng need to duplicate data integra�on tasks

Iden�fy and scope candidate projectsthat extend asset life, improve safety, minimize traffic disrup�on, and reducerisks of adverse environmental impacts by:

Integra�ng data that allows for iden�fica�on of root causes for poor performance

Integra�ng data that facilitates considera�on of safety and environmental factors indetermining maintenance and rehabilita�on need

Using spa�al views of asset needs to iden�fy opportuni�esfor efficient packaging of work

Develop Programs—Priori�za�onand Tradeoff Analysis

Reduce staff �me needed for scenario analysis by:

Automa�ng and speeding data integra�on and presenta�on tasks

Maximize use of available resources by:

Bringing together mul�ple datasets that facilitate priorityse�ng

Providing capabili�es for visualiza�on of the implica�ons of different fund alloca�on scenarios

Providing capabili�es to easilyreview a proposed program for geographic balance

•

•

•

•

•

•

•

•

•

•

•

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Develop Programs—Internal and Public Outreach andCommunica�on

Reduce staff �me needed to supportdecision makers by:

Reducing agency staff �me responding to informa�on requests and preparing presenta�on materials for agency execu�ves

Enhance public image and increase support for funding by:

Improving ability to communicate agency plans tocustomers and elected officials

Equipping agency execu�ves with intui�ve, self-service tools for “telling the story” about asset needs and programchoices

Manage and Track Work—Proac�ve Work Scheduling andCoordina�on

Reduce �me and cost of maintenance ac�vi�es by:

Reducing the propor�on of reac�ve maintenance through systema�c planning of preven�ve maintenance using spa�al dataReducing need for return visits to bring addi�onal equipment or materials due to proac�ve planning Coordina�ng �ming ofac�vi�es involving similar skill sets and equipment within the same area

Minimize customer impacts by:Packaging work to coordinate�ming of mul�ple ac�vi�es requiring lane closures Reducing risk of asset failureimpac�ng traveler safety or mobility through proac�ve approach to maintenance

Manage and Track Work—Work Request Management

Increase efficiency in deployment of maintenance resources by:

Facilita�ng loca�on of work requests and assignment to the appropriate work unitAutoma�ng work requests

Enhance agency responsiveness to customers by:

Providing easy ways to report issues (e.g., via mobile apps) Providing maps showing status of work requests

Minimize customer impacts by:Reducing risk of asset failureimpac�ng traveler safety or mobility through faster iden�fica�on of issues

• •

•

•

•

•

•

•

•

•

•

•

•

•

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Manage and Track Work—Real-Time Tracking andMobile Apps

More efficient deployment of available staff and equipment by:

Using real-�me loca�on

•

•

•

tracking informa�on toiden�fy the closest crewLowering administra�ve costs for record keepingImproving ability to select most cost-effec�ve deliverymethod—through comparing in-house unit costs to private-sector bids for similar workImproving situa�onalawareness for dispatchers and field crews

Improve accountability through:Providing current informa�on on work progress and statusProviding �mely informa�on onwork accomplishment and budget statusDocumen�ng work through “before” and “a�er” geo-tagged photos

Improve ability to op�mize asset treatment by:

Using a rich informa�on base onloca�ons with high recurring responsive maintenance costsImproving access to work history informa�on to helpiden�fy root causes for premature failure

Step 5: Identify Risks Iden�fica�on of risks is an important part of developing the business case for a significant GIS/TAM investment. It is important to iden�fy risks for each of the op�ons, including the no ac�on op�on.

A risk analysis allows agencies to: •

•

•

•

Examine assump�ons about how much the ini�a�ve will cost, examine what benefits will be realized, characterize the uncertain�es inherent in these assump�ons, and, if possible,quan�fy the impacts of higher and lower values of costs and benefits on project feasibility and worthiness; Iden�fy factors that could impact project success or feasibility, and develop mi�ga�on strategies and con�ngency plans for each iden�fied risk factor; andHighlight current vulnerabili�es that an agency may have that could be reduced or eliminated by undertaking the GIS/TAM ini�a�ve (e.g., ability to meet pending federal requirements).

Many agencies have established risk assessment and risk management procedures in place for major informa�on technology projects that can be adapted to examine risks associated with significant GIS/TAM investments. The following types of risks should be considered for GIS/TAM ini�a�ves:

Organiza�onal change—future changes in leadership, key personnel, or shi�s in priori�es may jeopardize the funding or management support for the effort. This is a par�cular concern for ini�a�ves that will require several years to complete. Mi�ga�on strategies include building a stronger base of support within the agency to reduce reliance on one or two key individuals,and/or pursuing a phased approach with concrete results a�er each phase.

••

•

•

•

•

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Technology change•

•

•

•

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—rapid improvements in technology can mean that the tools or architectural approach selected at the start of the ini�a�ve may be obsolete or rela�velyinefficient by the �me it is complete. It is important for agencies to be cognizant of where technologies are heading when embarking on a new ini�a�ve.Cost uncertainty—costs may be higher than an�cipated to due unforeseen issues. For GIS/TAM ini�a�ves, major risk factors include �me required to clean up or convert legacy data sets, �me to fix or work around data quality issues in the agency’s linear referencing system, unan�cipated complexi�es in integra�ng management systems and “scope creep” for custom applica�on development when requirements aren’t clearly defined or there isn’t a process for itera�ve development built in. Benefits uncertainty—benefits es�mates are necessarily based on a set of assump�ons about what the ini�a�ve is expected to accomplish, and how it will impact efficiency and effec�veness of agency business processes. If these es�mates are too op�mis�c, they won’t be credible and will overstate the likely ROI of the ini�a�ve. If these es�mates are too conserva�ve, the ROI will be understated and the agency may miss out on an opportunity to improve.Funding or support uncertainty—the organiza�on lacks the management commitment and alignment to ensure a successful implementa�on. It is important to confirm that the necessary level of support and internal coopera�on required to implement the ini�a�ve isthere.

Step 6: Put It All TogetherThe final step in assembling a business case is to pull all of the informa�on together, look at the results, and determine which op�on(s) have the strongest poten�al to achieve an agency’s objec�ves with a posi�ve return on investment.A quan�ta�ve ROI or benefit-cost analysis will strengthen an agency’s business case. Based on the benefits and costs the agency has es�mated in steps 3 and 4, it can develop es�mates for each of the op�ons. There are several templates available to help an agency—see, for example, reference [4]. In developing an agency’s analysis, there are several challenges that the agency will need to recognize inpresen�ng its results:

Acknowledging uncertainty. Prospec�ve (as opposed to retrospec�ve) ROI analyses rely on a variety of assump�ons about how the new capabili�es will be used and what impacts they will have. Uncertainty can be incorporated into the analysis through defining high and low valuesfor assump�ons, or (as noted in the Oregon DOT example above) use a probabilis�c approach employing Monte Carlo simula�on.

Benefit-Cost Assessment Using Monte Carlo Simula�onThe Oregon Department of Transporta�on conducted a benefit-cost analysis of nine GIS tools implemented as part of a major bridge delivery program. In order to reflect uncertain�es, they represented some of their assump�ons as probability distribu�ons rather than fixed values, and employed Monte Carlo simula�on to analyze how varia�ons in benefits and costs would impact the analysis. They presented the results in terms of the most likely value of the benefit-cost ra�o as well as low and high range values. For example, results for the nine tools showed a most likely benefit-cost ra�o of 2.1 with a range from 1.8 to 4.1.Source: reference [7]

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Quan�fying intangible benefits.•

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Intangible benefits such as improved decision making and enhanced customer responsiveness. Time savings through automa�on of currently manualfunc�ons is the most straigh�orward benefit to analyze; other benefits do not lend themselves as well to predic�on and quan�fica�on. Accoun�ng for changes in behavior. Technology investments enable new types of analyses that would previously have been cost prohibi�ve to pursue. A�er implemen�ng a new GIS system, one might find that staff are spending more �me on analysis rather than less.However, their decisions are presumably being improved based on new informa�on available.

Given the difficulty of quan�fying improvements in effec�veness, an agency will want to feature a descrip�on of the qualita�ve benefits that it expects, including concrete examples where possible.The following example illustrates the en�re six-step process for developing a business case.

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Example: Adding Agency-Wide Geospa�al Capabili�es for Program Development

Business Need

State DOT “E” has a robust annual and mul�-year program development process with both decentralized(district-level) and centralized components. To assess roadway asset needs and performance, bothdistricts and headquarters offices rely on data from management systems that are not integrated, including pavement management, bridge management, and roadway crash informa�on. Although the agency has a func�oning GIS and the roadway inventory, structure inventory, and pavement condi�ons can be mapped through the agency GIS, these systems are not fully integrated for access through the GISview. In addi�on, the mul�-year and annual program components are not currently geocoded through the agency’s GIS, so there is no systema�c way to map or analyze loca�ons of programmed projects.

A new asset management commi�ee was formed to develop a more integrated program developmentprocess involving a greater degree of coordina�on across pavement, bridge, safety, and traffic engineering improvement projects. Their goal is to provide a common view of asset condi�on, safety, and programmed projects that can serve as the basis for project scoping and priori�za�on that reflectsmul�ple needs.

Op�onsThe commi�ee defined three op�ons:

1. No change—con�nue current prac�ce of regular mee�ngs across the different asset managers and district staff to review needs and discuss coordina�on opportuni�es.

2. Modify the current program management so�ware to require mapping of candidate project loca�ons; task the central GIS group with producing a map showing needs and projectloca�ons based on data exports from each management system.

3. Build a GIS tool for defining candidate projects that enables each work unit to view needsfrom each management system.

Iden�fy CostsThe commi�ee es�mated the following costs for the different op�ons:

Op�on 1 Op�on 2 Op�on 3 Ini�al Costs

A. Planning $0 $15,000 $30,000B. So�ware

Development $0 $100,000 $150,000

C. Data Integra�on $0 $0 $50,000D. Training/Change

Management $0 $75,000 $100,000

Total Ini�al Costs $0 $190,000 $330,000Ongoing Annual Costs

A. User Support $0 $10,000 $20,000B. Mapping $0 $25,000 $0C. Applica�on

Maintenance $0 $5,000 $5,000

Total Annual Costs $0 $40,000 $25,000NPV of Costs over 10 Years(3% discount rate) $0 $531,208 $543,255

NPV = net present value.

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Example: Adding Agency-Wide Geospa�al Capabili�es for Program Development (con�nued)

Iden�fy BenefitsInterviews with staff in the pavement, bridge, and safety units were conducted to walk through their current work process to prepare for program coordina�on mee�ngs. In addi�on, interviews with district office staff were conducted to understand what data they used from the asset, safety, and program management systems and how much �me they spent on data retrieval, repor�ng, and mapping tasks. Based on these interviews, the commi�ee es�mated the following efficiency benefits for op�ons 2 and 3,rela�ve to op�on 1 (the baseline):

Annual savings in pavement, bridge, and safety unit staff �me to prepare data for mee�ngs and respond to ques�ons about needs and plans: $30,000—savings of $255,906 over 10 years.Annual savings in district office staff �me to prepare maps of project loca�ons based ondescrip�ons in the Program Management system: $15,000—savings of $127,953 over 10 years.

Differences between op�ons 2 and 3 in terms of efficiency are related to the need for manual prepara�on of maps for op�on 2. This was accounted for in the cost analysis.

Total efficiency benefits were es�mated at $383,859 over 10 years. With respect to effec�veness benefits, the commi�ee felt that having wel l-defined maps showing needs and project loca�ons would result in improved project scoping that considers mul�ple needs—above and beyond what would be accomplished via the current process. They also felt that it this would result inmore effec�ve program development, providing the ability to account for needs of mul�ple assets as well as safety in project priori�za�on and tradeoffs. Finally, they felt that op�ons 2 and 3 would improve the agency’s external rela�onships, providing the ability to communicate agency plans to customers and elected officials. They hypothesized that op�on 3 would have the largest benefit since it integrated theGIS tool more directly within the project development workflow, and therefore would have rela�vely greater influence on decision making.

Iden�fy RisksThe commi�ee felt confident in the cost es�mates and efficiency benefit es�mates; the agency had carried out so�ware development efforts of similar scale and complexity in the past, using similar technologies and drawing on the same pool of in-house and consultant resources as they an�cipatedwould be available for this new effort. The major area of risk to be mi�gated was to ensure that the intended users of the new capabili�es were on board and were amenable to changing their current project scoping and priori�za�on processes. To mi�gate this risk, they developed a change managementplan including extensive user involvement in the applica�on development and tes�ng process.

SummarizeThe team decided that rather than trying to quan�fy the effec�veness benefits, they would subtract the efficiency benefits from the costs and consider whether the effec�veness benefits were worth the netcosts:

Net costs for op�on 2: $147,349 over 10 years. Net costs for op�on 3: $159,396 over 10 years.

They compared these amounts to the scale of the pavement and bridge maintenance and rehabilita�on program—projected to be $2.5 billion over the 10-year period. The net costs represented less than .06 percent of the program costs. They determined that the effec�veness benefits were worth far more than the net costs given the opportunity they represented to spend the available funds more wisely and enhance the agency’s external accountability.

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4. Getting It Done: Ingredients for Success

The Seven Ingredients for Success The success of any individual GIS/TAM ini�a�ve depends on a sound project plan that ensures management support, involvement of the right people in the organiza�on, selec�on of the right technologies, and a skilled and commi�ed team. This sec�on looks at the bigger picture and summarizes the essen�al ingredients for success in using GIS as an enabler for more integrated, spa�ally-enabled decision making. Figure 12 below illustrates the building blocks for a GIS/TAM program that enables an agency to create and sustain a powerful set of spa�ally-enabled data for TAM decision support and communica�on—in a cost-effec�ve manner.

Figure 12. Ingredients for a Successful GIS/TAM Program

The three pillars at the bo�om are required to support the program: 1. Management commitment and organiza�onal alignment. An apprecia�on on the part of

agency execu�ves and division managers for how a spa�al approach to asset management

Better Decisions—Reduced Risk More Informed Staff

Enhanced Agency Transparency

Integrated, Spatially-Enabled Data for TAM

Leadership and Alignment

GIS Tools and Expertise

Data Management &

Stewardship

Consistent Data Standards for

Spatial Integration

Management Systems Linked

with GIS

Coordinated Data Collection

Programs

4 4Foundational Geospatial Data

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4

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can benefit the agency is essen�al, since they must provide the leadership to make something happen. A shared vision for use of GIS across func�onal areas is needed to achieve the integra�on across data sets and systems that leads to substan�al payoffs. Achieving this shared vision requires educa�on and discussion to build awareness of the different levels of GIS integra�on with asset management.

2. Accessible GIS tools and experse. Individual work units that play a role in TAM must have access to GIS tools and exper�se so that they can fully integrate use of GIS into their daily workflow. They need to have a comfort level that allows them to view GIS as a standard tool in their toolbox—in the same category as spreadsheets and diagramming so�ware.

3. Well-defined and proacve data management and stewardship. The agency must have established roles, responsibili�es for quality assurance and upda�ng of spa�ally referenced data sets, and protocols for sharing them and making them available as map layers.

Once there is management support, a shared vision, tools and exper�se, and a data management and stewardship framework, the work of preparing and integra�ng data and conver�ng this data into informa�on for decision making can proceed in an efficient and focused manner. Essen�al ingredients in making this happen are:

4. Accurate and complete foundaonal geospaal data. The agency must have accurate and complete geospa�al data that provides the founda�on for mapping, analysis, and loca�on referencing.

5. Spaally integrated data sets. There must be standards and prac�ces to ensure consistent spa�al referencing across different agency data sets to facilitate integra�on for mapping and analysis.

6. Management systems linked with GIS. Many transporta�on agencies—especially state DOTs—make use of mul�ple disparate systems for road inventory, HPMS, pavement, bridge, traffic, safety, maintenance, program development, and financial management. Tight integra�on of these systems with a common GIS/LRS allows mul�ple data sets to be combined for analysis.

7. Coordinated data collecon across the agency. A coordinated and consistent approach across business units to collec�ng asset inventory, condi�on, and work accomplishment data in the field enables the organiza�on to achieve economies of scale and spread the cost of investments in new technologies across mul�ple data collec�on efforts.

These ingredients were iden�fied because they represent areas in which agencies may need to focus a�en�on in order to address common implementa�on challenges. Challenges can be related to leadership, personnel, data, technology, or general resource limita�ons. These challenges can present roadblocks to progress, but can also be viewed as opportuni�es for achieving true gains in agency efficiency and effec�veness. For each of these seven ingredients, poten�al strategies for success are presented that agencies can consider as they tackle specific challenges.

Ingredient 1: Management Commitment and Organizational Alignment

Essentials An apprecia�on on the part of agency execu�ves and division managers for how a spa�al approach to asset management can benefit the agency is cri�cal, since they must provide the leadership to make something happen. Asset and program management business unit managers need to understand and recognize opportuni�es for using GIS to gain efficiency and effec�veness and to manage risk.

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In order to undertake ini�a�ves requiring mul�-year investments in founda�onal geospa�al data, tools, and technologies, sustained execu�ve support and a coordinated agency approach is required. A shared vision across the agency for use of GIS can help to build support and ensure the level of coopera�on needed to achieve true integra�on of informa�on and its associated benefits.

Common Challenges Challenges faced by agencies that have not achieved management support and alignment include:

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A lack of management awareness within business func�onal areas (e.g., pavement, bridge, maintenance, program development) of poten�al value added through geospa�al analysis. Independent and inconsistent or duplica�ve GIS efforts within individual business units. The inability to jus�fy investment for new systems and data ini�a�ves given resource limita�ons and compe�ng priori�es and perceived risks associated with implementa�on of new technologies. Difficulty of implemen�ng ini�a�ves with a mul�-year payback horizon, par�cularly given limited tenure of agency leaders. An emphasis on day to day pu�ng out fires rather than longer-term process improvements. A tendency to focus on the specific responsibili�es of the business unit, even when greater collabora�on with other units would result in greater benefits to the agency as a whole (e.g., safety and pavement management).

Strategies for Success Educa�on. Build awareness and support for GIS ini�a�ves across a broad coali�on of middle managers to support sustained mul�-year efforts across changes in senior leadership. Provide opportuni�es for business func�onal-area managers to learn about successful applica�ons of GIS technology through training courses and peer exchanges. GIS Strategic Plan. Develop a strategic plan for GIS implementa�on (or build on an exis�ng plan by developing a GIS element for the TAMP). Involve key stakeholders from mul�ple business units to build consensus on the approach. Plan for the Long Term. Define a mul�-year program of GIS investments to spread costs over �me and ensure agency capacity to absorb changes to processes and applica�ons. Business Case. Document a solid business case for par�cular ini�a�ves, demonstra�ng alignment with agency mission and priori�es, and document (as well as quan�fy where possible) enterprise-wide benefits and costs. Pilots. Use pilots to demonstrate feasibility and benefits prior to a major commitment of resources. Build Bridges. Encourage opportuni�es for collabora�on across the stovepipes where there may be benefits to the agency as a whole.

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Ingredient 2: GIS Tools and Expertise

Essentials While most DOTs do have GIS so�ware and skilled GIS professionals, successful integra�on of GIS within TAM business processes requires that staff within units responsible for specific assets (e.g., pavement, bridge, safety) as well as staff with cross-asset program development responsibili�es have access to GIS tools and data, and the exper�se to know how to use these tools to conduct analysis. They must have access to available agency GIS support resources including training and assistance with GIS so�ware configura�on and data access. There must also be open communica�on channels between agency GIS support unit and asset management staff to ensure that technology decisions are being made to maximize business value.

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A lack of GIS skills within business units responsible for asset and maintenance management func�ons and/or lack of knowledge about poten�al applica�ons that would save �me or add value. Insufficient communica�on between central GIS units and the poten�al user community to understand applica�on needs and priori�es. A lack of tools that allow users without formal GIS training to view and analyze geospa�al data. No centralized repository or catalog of available data from internal as well as external agency sources—making data discovery difficult or �me consuming at best. A lack of tools for downloading and expor�ng data in suitable formats.

Strategies for Success Central GIS Func�on. Establish a focal point for GIS in the agency to set the strategic direc�on, priori�ze investments, manage enterprise technologies and data, and provide support. Provide Tools for Casual Users. Build and deploy applica�ons that automate access to GIS data and enable casual users to create maps and overlay data sets. Tailor GIS applica�ons to the needs of specific user groups. Central Data Catalog. Provide a central GIS data catalog with standard metadata for each GIS data set. Allow users to download data in mul�ple formats. User Group. Establish a GIS user group for informa�on sharing about technologies, tools, and applica�ons. If a user group already exists, encourage staff from asset management–related units to par�cipate in mee�ngs.

GIS in Maryland—the Power of Leadership Support for GIS at the state level in Maryland has been strong due to a governor that has been quoted as saying, “If it isn’t on a map, it doesn’t exist.” The governor learned firsthand about the power of GIS from his experience as mayor of Bal�more with the Ci�Stat program. Maps were the centerpiece of this highly successful performance management program, credited with achieving a substan�al percent reduc�on in violent crime. The governor has brought together state and local government to build a statewide base map, providing the founda�on for the state highway agency’s enterprise GIS program that includes a spa�al asset data warehouse.

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Brainstorming. Conduct informal brainstorming sessions involving asset management staff and GIS professionals in the organiza�on to iden�fy how to be�er leverage GIS capabili�es. Integrate the Experts. Provide opportuni�es for central GIS staff to be embedded within business units or rotate across business units. Hiring and Orienta�on Processes. Include GIS and geospa�al data management skills in staff job descrip�ons. Include an agency GIS data and basic applica�ons course as part of new employee orienta�on. Standard New User Setup Process. Develop a standard process for se�ng up a new user and providing the training and documenta�on they need to get started using agency GIS tools.

Ingredient 3: Well-Defined and Proactive Data Stewardship

Essentials Agencies are increasingly recognizing that data is an asset in and of itself, and needs to be managed as such. Prior to collec�ng data, there must be a well thought out plan for how these data will be used and by whom, what are the quality expecta�ons and how they will be verified, where the data will be stored, when and how they will be updated, what other informa�on needs to be integrated, and who will be responsible for day to day and policy-level management of the data. Because GIS data sets typically integrate non-spa�al business a�ributes associated with spa�al features, they are par�cularly suscep�ble to duplica�on and synchroniza�on issues. Sound data management prac�ces can be implemented within an individual business unit, but ideally they will be standardized agency-wide. This allows for an efficient centralized support structure to be established for data storage, data quality assurance, metadata management, and access.

Common Challenges Ambiguity in who owns the data—making it difficult to establish accountability for data quality. Dispersion of data sets throughout the organiza�on, making it difficult to discover what data exists. Loss of valuable data sets due to employee departures or hardware failures. Outdated data sets with no clear plan or assigned responsibili�es for upda�ng. Mul�ple versions of data sets—lack of a single-source system of record. Lack of staff resources to perform data quality assurance and updates. Data sets in varying formats without sufficient documenta�on for users to understand the content and limita�ons. Lack of consistency in coding of fields needed for linkage across data sets—such as district, organiza�onal unit, jurisdic�on, fiscal/calendar year, project number, etc.

Strategies for Success Data Business Plan. A data business plan effort can be undertaken to systema�cally iden�fy what data are needed by different func�onal areas and to lay out a coordinated plan for collec�ng, upda�ng, managing, and providing access to the data. Data Management Roles and Responsibili�es. Roles and responsibili�es for GIS data management can be defined with a process to assign these roles to specific individuals for each data set—with the support needed to ensure that these individuals have the knowledge, �me, and resources needed to meet their responsibili�es.

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Data Management Standard Prac�ces•

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. Standard management prac�ces for GIS data sets—including designa�on of the single source system of record, naming conven�ons, storage and backup protocols, metadata standards, cataloging, reten�on policies, and procedures for protec�on of sensi�ve informa�on. Geospa�al Data Catalog. Maintain an up-to-date catalog of geospa�al data sets within the agency, providing access to standard metadata, including clear iden�fica�on of the update cycle and responsible business unit or individual.

Ingredient 4: Accurate and Complete Foundational Geospatial Data

Essentials Agencies embarking on GIS/TAM ini�a�ves need to have accurate founda�onal geospa�al data, including a base map, road centerlines, and an LRS that provides the backbone for integra�on of roadway and asset data. In addi�on, it is important to have high quality basic road inventory data including fundamental geometric and administra�ve characteris�cs, as well as accurate and up-to-date jurisdic�on boundaries and district or regional boundaries that define maintenance responsibili�es. Each of these founda�onal elements must have a regular and well-defined upda�ng process, data management, and refresh processes that ensure use of the most current data from the designated source system of record.

Common Challenges The lack of a single, authorita�ve, and centrally managed LRS. The lack of a consistent approach to managing and coordina�ng changes in the LRS over �me. Poor quality of founda�on data (e.g., road centerlines and routes) is an impediment to mapping and integra�ng asset data. Gaps in geospa�al coverage of road inventory data. Road inventory elements such as number of lanes and pavement type are maintained in separate databases and not kept in sync with a master source system of record. A lack of quality and consistency across other core geospa�al data sets including jurisdic�onal boundaries, district/region boundaries, and road inventory data.

Strategies for SuccessStandardize Core Data. Implement a centrally-managed LRS with mul�ple referencing methods reflec�ng agency business needs, drawing upon commercially available applica�ons as appropriate. Collaborate. Build founda�on data u�lizing both internal agency resources and coordina�on with external partners. Inves�gate Commercial Data. Nego�ate with private data providers to determine whether data purchase may be more cost effec�ve than in-house collec�on and maintenance. Assess and Improve Quality. Develop and report data quality metrics for core geospa�al data sets including road centerlines, jurisdic�on boundaries, district or region boundaries, and road inventory. Implement Standard Update and QA Processes. Define roles and responsibili�es for upda�ng road centerline and LRS informa�on as the road network changes. Make use of field-collected data for asset management to check and improve road network data quality.

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Incorporate Technology.•

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U�lize new technology to automate exis�ng data collec�on processes and ensure accuracy.

Ingredient 5: Consistent Data Standards Enabling Spatial Data Integration

EssentialsCore data sets required for asset management such as asset inventory, asset condi�on, traffic, crash, capital projects, and maintenance work records need to include consistent loca�on referencing that allows them to be spa�ally integrated. This is a major hurdle to overcome in many agencies. Tools for combining linear event data (e.g., pavement sec�ons, traffic links, projects) based on different segmenta�ons must be easily accessible to analysts suppor�ng asset management units.

Common ChallengesVaria�ons in the loca�on referencing methods across data sets that prevent data sets from being mapped or placed on the established LRS. Founda�onal GIS and LRS data may be inplace, but this problem can be faced if LRS standards are not followed. Existence of data sets with varying levels of accuracy—collected by different organiza�onalunits using varying techniques at different scales and with different a�ributes. Programs for asset inventory or inspec�on may have been established prior to the development of agency-wide loca�on referencing standards.The agency’s central LRS is less accurate or less up to date than other LRSs, making business units unwilling to use the central system un�l data quality issues are corrected.A lack of automated tools for combining data sets based on different segmenta�ons of the network.A lack of consistency in data collec�on processes, crea�ng discrepancies in data collected at different �mes and on different versions of the network—data collected at different points in�me may reference loca�ons that have undergone changes in route designa�ons. GPS data collected without following standard protocols to ensure an acceptable level ofaccuracy or precision.A lack of tools and methods to match up GPS-located data with the agency’s road network data.

Ohio DOT: Benefits from Common Spa�al Referencing“By analyzing business processes, the Ohio DOT realized that users at different levels were repeatedly making business decisions that required asset informa�on that was stored in disparate systems. There were problems in decision making and delays in answering ques�ons. The GIS area was ge�ng anincreasing number of requests for project maps that required tedious manipula�on of data fromdifferent systems and the resul�ng data accuracy was ques�onable.

The Ohio DOT recognized that having a common loca�on referencing system is cri�cal for integra�ng systems. The various systems all had elements of referencing systems, but all had problems with data integrity, domains, and consistency. The Base Transporta�on Referencing System (BTRS) was designedto address this data quality and integra�on problem. BTRS integrates applica�on systems through a common iden�fier. The BTRS framework is the basis for consolida�ng the different inventories to a singlelinear referencing system.”Source: reference [8]

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Data collected without precise referencing (e.g., just a county and route) or using informal loca�on referencing—e.g., with text references to mile markers. Data collected using street names rather than official route designa�ons or referencing overlap routes as opposed to the master or primary route designa�ons. Data referenced to jurisdic�on boundaries based on signage that doesn’t match with official boundary loca�ons in GIS data sets. Lack of tools and procedures for QA and transla�on from coordinates to linear referencing.The agency lacks a designated func�on to perform proac�ve planning and coordina�on to iden�fy business needs for data integra�on.

Strategies for Success Standardize. Develop policies and standards for new data collec�on, contractor-supplied data sets, and system development to ensure consistency with enterprise LRS.

Define Data Integra on Requirements. Review specific business requirements for integra�ng mul�ple data sets and establish necessary protocols for quality assurance, �ming of updates, and geospa�al level of precision.

Define Trend Analysis Requirements. Review business requirements for loca�on-specific trend analysis and other uses of historical data sets to ensure that requirements related to temporality are met.

Convert Legacy Data. Undertake efforts to a�ach consistent geospa�al referencing to exis�ng data sets, using automated or semi-automated processes where possible. Provide Tools. Develop/acquire tools for conver�ng across different referencing methods, dynamic segmenta�on, and par��oning across mul�ple linearly referenced data sets. Provide access to these tools to both GIS/IT staff and business users.

Ingredient 6: Management Systems Linked with GIS

Essentials Asset and maintenance management systems—which serve as the focal point for review of asset condi�ons, needs, development of work candidates, and program/project management systems that maintain informa�on about proposed and programmed projects—should be spa�ally-enabled to allow for convenient analysis. Each management system should be linked to the agency’s core geospa�al data, including its LRS. This allows for informa�on from each system to be brought together for analysis and presenta�on, using the full array of GIS tools and applica�ons that the agency has available. Today’s commercial asset and maintenance management systems include integrated GIS func�onality or can be configured to integrate with an agency’s GIS data and tools. Assuming that each management system uses one (or more) of the agency’s standard loca�on referencing method(s), the key challenge in making this integra�on work is keeping the management systems in sync with the agency’s LRS as the road network changes. This is rela�vely straigh�orward for agencies that have a single integrated GIS-centric asset management system. However, when an agency has several different management systems (as most state DOTs do)—for pavement, bridge, road inventory, safety, traffic, signs, signals, etc.—keeping networks in sync can require considerable effort. Some agencies use a snapshot approach, refreshing spa�al data across systems on an periodic (e.g., annual) basis. Live spa�al integra�on across systems has been implemented, but involves greater complexity and must be carefully planned and orchestrated.

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Asset and maintenance management systems were built with their own internal methods for loca�on referencing and management, and are inconsistent with the agency’s GIS/LRS maintenance systems. Data from different asset management systems cannot be easily integrated due to inconsistencies in loca�on referencing and/or lack of tools to convert across referencing methods. Projects and maintenance ac�vi�es are not spa�ally located in a standard way, making it difficult to overlay this important informa�on with asset inventory and condi�on data. Loca�on referencing for data within asset management systems gets out of sync with the agency’s master network as updates are made.

Strategies for Success Target Architecture. Develop a target system architecture that integrates GIS/LRS, asset management, maintenance management, and program/project management systems. Develop a strategy for moving toward the target architecture as legacy systems are replaced or upgraded. So ware-Neutral Design. Implement a database-centric, so�ware neutral approach that maintains agency flexibility to u�lize a variety of off-the-shelf tools and takes advantage of new products as they come available. Standard Interfaces. Develop standard interfaces to synchronize loca�on referencing and to enable the management of asset and work loca�ons within the central GIS/LRS while managing business data within the asset management system maintenance management system (MMS). Standardize Prac�ces for Loca�ng Construc�on Projects and Maintenance Ac�vi�es. Integrate GIS-based interfaces into program and maintenance management systems that allow end users to specify loca�ons for projects and maintenance ac�vi�es on the agency’s LRS. Simplify. Consider consolida�on of asset management so�ware packages to minimize the number of interfaces and simplify data integra�on processes. Benefits from simplifica�on need to be weighed against costs of system transi�on, the need to meet specialized requirements, and the desire to avoid risks that may be associated with over reliance on a single vendor. Leverage ERP Ini�a�ves. If an agency is undertaking an ERP implementa�on, use this as an opportunity to standardize interfaces between management systems for asset inventory, maintenance, and project/program management and the agency’s GIS/LRS.

Ingredient 7: Coordinated Data Collection Across the Agency

Essentials A coordinated approach to data collec�on across business units responsible for different assets can save the agency money and make it easier to ensure that data are collected using consistent and compa�ble spa�al referencing methods. There may be opportuni�es to collect informa�on for mul�ple assets at once (e.g., through use of video and remote sensing techniques) or to use the same field equipment and data collec�on so�ware for several different assets. There may also be

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opportuni�es to update inventory and condi�on data based on work accomplished in a consistent manner across mul�ple assets.

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Common ChallengesResistance on the part of individual business units to change longstanding data collec�on programs that meet their specific needs and feed decision support systems.A lack of incen�ves to coordinate data collec�on efforts across business units.Varia�ons in requirements for data collec�on frequency, accuracy, and precision acrossbusiness units.A lack of a one-size-fits-all data collec�on solu�on to meet diverse requirements for accuracy and precision.Inability to coordinate funding or �ming for mul�ple special purposes or one-shot efforts that are not planned well in advance.A lack of coordina�on between business units planning data collec�on and central IT units to provide storage and access for new data sets, contribu�ng to data silos.Network and telecommunica�ons limita�ons preven�ng reliable communica�on between field devices and source or target databases.Costs associated with new data collec�on hardware and so�ware acquisi�on.

Strategies for Success Data Business Plan. Develop a data business plan that reviews the cost, efficiency, and scope of data collec�on efforts and that iden�fies opportuni�es for consolida�on and applica�on of new technology while recognizing a need for mul�ple approaches to meet business requirements.Standardize. Develop centralized data collec�on standards, processes, and training along with consistent approaches to loca�on referencing and links to exis�ng asset inventory data acrossdata collec�on efforts. Data Collec�on Review Process. Develop criteria for undertaking new data collec�on efforts and a phased approach for adding new data sets.Consolidate. Build on a single exis�ng data collec�on program (e.g., video logging) to meet mul�ple needs.Pilot New Technologies. Pilot test new data collec�on technologies [e.g., light imaging detec�on and ranging (LiDAR)] with mul�ple business units.Outsource. Consider outsourcing development of data collec�on apps and/or data collec�on and quality assurance processes.Cloud Storage. Consider cloud-based data storage and access to reduce hardware demands.

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Case Studies The following case studies demonstrate how the ingredients for success have been u�lized to advance asset management prac�ces in several states. Each case study focus on a different aspect of GIS implementa�on and applica�on.

West Virginia DOT: Integrating Leveraging ERP Implementation for Advances in Asset Management and GIS West Virginia DOT (WVDOT) is responsible for maintaining almost 39,000 miles of roads, which represent the majority of the state’s public roads. Un�l 2005, WVDOT did not have a GIS unit or any geospa�al applica�ons. The agency had purchased GIS so�ware, but had not really begun to use GIS to manage its infrastructure or any of its assets. In 2007, WVDOT developed a geospa�al strategic plan to guide implementa�on of GIS both within the planning division and across the agency. Part of the plan was to adopt a consistent route ID format to be used as a unique iden�fier for each state-maintained route. This standard route ID was then required to be used in all of the DOT’s business data systems, allowing for integrated viewing of assets and events in geospa�al applica�ons. In 2012, the state of West Virginia began a major ERP project called wvOASIS. The goal of the project as stated in the mission statementis to “gain opera�onal efficiencies and seamless integra�on across administra�ve business func�ons by fundamentally transforming how the State manages its financial, human resources, procurement and other administra�ve business processes.” For WVDOT, the ERP project focuses on implemen�ng several modules of a commercial asset management suite for maintenance, fleet, and safety. While the wvOASIS project has been underway, WVDOT has made great strides on the geospa�al front. The agency has developed a number of geospa�al applica�ons that allow for viewing, mining, repor�ng, and mapping of asset and associated business data. These geospa�al applica�ons include a straight-line diagram (SLD) tool with integrated mapping and video log components and a highway performance monitoring system (HPMS) console. The SLD allows the DOT to view point assets (e.g., culverts, bridges, highway signs, and intersec�ons) and linear assets (e.g., speed limit, func�onal classifica�on, surface type, and guard rails) along its network. The SLD includes an integrated map that can display thema�c informa�on (such as color coding routes based on pavement condi�on), char�ng capabili�es (pie charts, graphs), asset display and repor�ng, and redlining capabili�es. WVDOT’s video log images can also be displayed through the SLD. The HPMS console provides WVDOT with the tools to track the processes associated with gathering and valida�ng the informa�on needed for the annual FHWA submission. The HPMS fields are displayed as a component of the integrated SLD.

The introduc�on of GIS has had a very posi�ve impact on WVDOT's ability to visualize and combine data in ways not possible before the agency adopted a geospa�al founda�on for data integra�on. GIS has provided the agency with large financial benefits resul�ng in the savings of several million dollars in tax payer dollars due to more efficient repor�ng and analysis. In addi�on, WVDOT is now working on integra�ng its geospa�al technologies with the agency’s asset management systems through the state wvOASIS project. This ERP project will result in the DOT's ability to be more proac�ve in addressing safety and highway improvement needs.

- Hussein Elkhansa, Geospa�al Transporta�on Informa�on Sec�on Head

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Recently, WVDOT made the decision to implement a commercial off-the-shelf solu�on for managing its underlying LRS and associated business data. The SLD has been developed to integrate with this solu�on and will allow for edi�ng data through the SLD format. With all the advances on both the GIS and asset management fronts at WVDOT, GIS and asset management processes have remained fairly separate. WVDOT has therefore ini�ated a project to integrate their LRS solu�on with their commercial asset management systems, which includes packages from two leading vendors. WVDOT is part of a mul�-state consor�um that is working with leading GIS and Asset Management vendors to set standards that will allow for the exchange of data using modern technologies. WVDOT made the decision eight years ago to become a leader in the geospa�al industry by developing and deploying applica�ons that integrate GIS and asset management technologies. Today the agency has set an excellent example for other DOT’s for how to advance an agency’s decision-making capabili�es in a rela�vely short period of �me.

Washington State DOT: Strong GIS Foundation for Decision Support WSDOT has developed a mature GIS program that meets mul�ple business needs throughout the agency, including project planning, programming, design, construc�on, and maintenance. Key elements of this program include:

Standard loca�on referencing methods used for road-related GIS datasets•

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—based on state route ID + milepoint—with transla�on tools for conver�ng across accumulated mileage, milepost marker loca�ons, and GPS coordinates. These transla�on tools are viewed as a major success factor for the GIS program since they allow for flexibility in data collec�on method while ensuring a straigh�orward integra�on path for data sets collected using different methods. A GIS Roadway Datamart containing geospa�al data on roadways (lanes, widths, surface types), shoulders, medians, alignments, curves, intersec�ons, speed limits, bridges, rest areas, weigh sta�ons, and other elements. Because WSDOT’s core highway inventory system is mainframe-based, the agency uses a data warehousing approach to facilitate access to pre-packaged data sets.The GeoData Distribu�on Catalog which provides web-based access for viewing and downloading spa�al data sets, including those in the Roadway Datamart. The GeoPortal Map for viewing selected data layers in a web browser, including func�onal classifica�on, jurisdic�on boundaries, interchange drawing diagrams, and WSDOT region and maintenance boundaries. The Roadside Features Inventory Program (RFIP) for collec�ng, storing, and repor�ng roadside features such as guardrails, culverts, signs, and others in or near the clear zones of highways. This effort consolidated previous efforts within individual business units to collect data and provided a uniform approach that standardized and centralized collec�on and storage. This approach allowed WSDOT to improve data collec�on efficiency, data accuracy and consistency, and enhance data access and repor�ng. The data are used for a variety of purposes, including priori�za�on of maintenance and safety funds, and environmental regulatory compliance. Currently WSDOT is exploring cost-effec�ve ways to collect and update roadside feature data by capturing informa�on using GPS-enabled mobile devices as part of construc�on and maintenance processes. For example, maintenance crews update informa�on on culverts while performing rou�ng cleaning.

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The GIS Workbench that brings together an extensive set of GIS data layers in an ArcGIS (thick •

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client) environment (including the roadside features data, collision data, traffic data, environmental data, etc.) and provides specialized tools for spa�al analysis and access to as-built plans and imagery, and impact risk screening. This applica�on was originally developed to support environmental analysis, but currently is used more broadly across the DOT and can be configured to meet specific needs. Standard processes have been developed for adding new data layers—including establishment of data owners and update cycles. The applica�on is supported by GIS staff who update the data layers and associated metadata, provide training and support, and conduct periodic outreach to iden�fy enhancement needs. WSDOT collects and displays real-�me data from maintenance vehicles, including plow loca�on, applica�on of sand and de-icing chemicals, temperature, and surface condi�on. This informa�on is used to manage winter maintenance ac�vi�es and deploy trucks to where they are most needed.

Recent examples of how WSDOT has used GIS for decision support related to asset management include:

Used GIS to analyze a proposal to lower the threshold for triggering pavement treatments to address ru�ng from 12 to 10 millimeters. Spa�al data was assembled on fatali�es (six years of data), paving projects with rut depth prior to paving, and rainfall intensity. An analysis of these data indicated that there was no evidence that shi�ing to the 10 millimeter trigger would have any significant impacts on fatality reduc�on. While the mo�va�on for considering the threshold change was to reduce fatality risk, the analysis helped to show a negligible level of risk reduc�on for a change that would require a higher alloca�on of funds for paving. Used GIS to assess Americans with Disabili�es Act (ADA) needs for development of a transi�on plan and targeted program. Spa�al data on iden�fied ADA needs iden�fied in 2009 were overlaid with completed paving projects since 2009 in order to assist with iden�fica�on of remaining needs.

Utah DOT: GIS as a Transformative Technology for Asset Management Utah DOT (UDOT) provides an example of an agency that transformed itself from GIS skep�c to GIS proponent over a rela�vely short span of �me. This transforma�on has changed the prac�ce of asset management—enabling the agency to use available informa�on to be�er target its resources.

Initial EffortsThe agency started with an applica�on in the environmental area—crea�on of categorical exclusion documents. They succeeded in reducing the process from months to a few days by pulling together available data within a common GIS pla�orm and automa�ng standard processing and display tasks. A second successful effort involved presen�ng the STIP on a GIS pla�orm. While this was costly to achieve since the project data were not spa�ally referenced in a consistent manner, the result provided a highly useable tool that allowed legislators to understand the program—and represented a major improvement over the somewhat daun�ng 400 page STIP document providing tabular lis�ngs of each project. The format allowed UDOT to effec�vely tell

GIS has really changed the way we do business at UDOT.

- Stan Burns, UDOT Director of Asset Management

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the story in a way that they had never been able to before. Through this prac�ce, Utah DOT was able to portray the agency as capable, forward thinking, pro-ac�ve, and worthy of considera�on for revenue enhancements. GIS was not the single solu�on that helped to build public confidence in the agency, but it played an essen�al role in this process. Lawmakers responded extremely favorably to the GIS informa�on provided—they asked “Why haven’t you shown us this before?”

UDOT TodayA�er demonstra�ng ini�al success by leveraging exis�ng data, UDOT worked to establish consistent loca�on referencing across data sets. The agency’s efforts to establish a disciplined approach to maintaining construc�on project loca�ons paid off, when before it ini�ally took weeks of effort to map the construc�on program, now an accurate program map can be created at the click of a bu�on. At the same �me, UDOT pursued development of two applica�ons: UGATE and UPLAN, providing centralized GIS data access and display capabili�es. It also invested in obtaining a rich base of high-quality roadway and asset data u�lizing LiDAR technologies. The LiDAR data collec�on effort has included:

• Pavement surface area and width. • Shoulders. • Horizontal and ver�cal curves. ••

Intersec�ons (signalized and unsignalized). Bridges (including ver�cal clearances).

• Retaining walls. • Bike lanes. • Medians and barriers. • Signs (inventory and condi�on). • Culverts. ••••

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Drop inlets. Guardrails.Pavement markings and messages. Rumble strips.

UDOT’s UGate portal allows users to find and download data derived from the LiDAR collec�on and other sources in different GIS formats. In addi�on to the LiDAR elements listed above, data available in UGate includes pavement condi�on, pavement deflec�on, HPMS inventory informa�on, jurisdic�on boundaries, AADT, crash rates, annual planned paving projects, construc�on program projects, and long-range plan projects. UDOT’s UPlan provides an interac�ve mapping pla�orm hosted in the cloud. UPlan features a series of special purpose map views, including:

A STIP workshop map, providing access to informa�on about proposed projects; A pavement management map showing historical and current pavement condi�on for Utah state roads as well as current, past, and forecasted pavement treatment projects; A culvert map showing culvert loca�on, type, size, condi�on, and maintenance ac�on recommenda�ons; and A map suppor�ng data quality assurance for sign retroreflec�vity informa�on.

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Map 6 illustrates a GIS capability for providing access to informa�on about proposed transporta�on projects.

Map 6. Provide Informa�on About Proposed Projects

UPlan maps are interac�ve and customizable, and APIs are provided for development of mobile applica�ons. Currently, GIS at UDOT is an essen�al tool not just for displaying the end result of the program development process, but also for developing the program itself—and telling the story of how it was developed:

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UDOT is now able to make use of integrated AADT, crash, geometric, eleva�on, and asset condi�on informa�on to target resources where they will have the greatest payoff considering needs for safety, mobility, and preserva�on. Using integrated GIS data, UDOT is able to iden�fy specific loca�ons where asset replacement, rehabilita�on, and preserva�on ac�vi�es can be coordinated. As an example, the agency created a sign and culvert management program that provides funding for sign and culvert

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replacement or repairs that are linked to paving projects. Tailored GIS views are provided to assist in targe�ng loca�ons based on condi�on of pavements, culverts, and signs.

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GIS applica�ons are used to assemble data for developing project concept plans considering mul�ple assets. These applica�ons are used interac�vely at program development workshops with the Transporta�on Commission to provide an overview of each candidate project and to zoom in to show road imagery, current condi�ons, and project details. DOT staff have also used UPlan to distribute maps before mee�ngs, cu�ng down significantly on �me spent reviewing project plan elements and other details.

Use at the Regional Level Although the technology and tools are s�ll new, UDOT regional offices are already finding GIS to be a valuable tool in conduct of their day-to-day ac�vi�es. Region 4, in par�cular, has championed GIS usage for a range of applica�ons and found that it has really supported their ability to do more with less (in terms of resources and staff). Because this region covers a very large area spanning the en�re southern half of the state, planning, scoping, and coordina�ng work is a significant challenge. GIS has helped staff to reduce �me spent in the field. They have deployed smartphone apps that allow staff to easily geo-reference informa�on. This informa�on is then made available for statewide access. Some of the ways Region 4 is using GIS include:

Tracking rumble strips—the region has been a leader in applica�on and installa�on of rumble strips to improve traffic safety. They have compiled GIS data on current rumble strip loca�ons and types (shoulder or center line), loca�ons that have been evaluated for poten�al applica�on with condi�ons that preclude installa�on (e.g., bike route or no shoulder), and loca�ons not yet evaluated. This informa�on is shared widely and used for safety analysis and project planning.

Iden�fying wildlife crossing loca�ons—Region 4 is engaged in an ongoing effort to reduce the number of wildlife–vehicle collisions on its roadways through the addi�on of wildlife roadway crossings. They use their smartphone app to geo-reference sites where animal carcasses are picked up. They use UPlan to display these data along with data on loca�on and characteris�cs of exis�ng culverts and bridges. This analysis helps them to quickly hone in on candidate loca�ons for new crossings. Prior to availability of easy-to-use GIS tools, this type of analysis was outsourced—now it can be done in-house. This results in an es�mated cost savings of roughly $30,000 per analysis. Preparing for project scoping visits—Region 4 engineers, designers, and surveyors use UDOT’s Linear Bench SLD tool to review exis�ng asset data in prepara�on for site visits. They have found that this allows them to reduce the amount of �me spent in the field and avoid the need for repeat visits. This is extremely helpful given the large size of the region—it may take three or more hours of travel �me to reach a project site. Rather than spending on-site �me collec�ng new data, they simply confirm the accuracy of data and assump�ons that will be used for scoping and design. Correc�ons and updates are recorded u�lizing smartphone apps.

Like most DOTs, we have a finite number of employees. We can’t do more with less if we keep doing things the same way—it is necessary to embrace new technologies like GIS. That is the only way to be more efficient.

- Monte Aldridge, Preconstruc�on Engineer, UDOT Region 4

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Reducing project delays and permit approvals—Region 4 has already seen examples of approvals moving much more quickly through the permi�ng process because the loca�ons of concern (e.g., environmentally sensi�ve areas) can be accurately mapped and easily shared with partner agencies. In a recent case the U.S. Fish and Wildlife Service approved a request for a project in one day because of the display of GIS data; prior to having this in GIS, the approval process could have taken up to two months. In another case, staff were able to u�lize data derived from design files for a project to see that a planned guardrail was located within a known cultural site. Based on mapping informa�on, they were able to adjust the guardrail loca�on by a few hundred feet and avoid the need to conduct a costly and �me consuming (months long) environmental review. Designing projects—Region 4 designers are finding that the GIS data is accurate enough for use in preliminary design work. Without much work, the DOT can have an accurate es�mate of a poten�al project. Availability of accessible, high-quality data has allowed staff to reduce the number of trips to the field, resul�ng in substan�al cost savings for the agency. Sharing notes from the field—as surveyors, inspectors, or engineers are in the field, they are able to upload their notes about condi�on, etc. directly to the GIS database using a smart phone or other mobile device. These notes are then accessible to anyone else working on the project.

In Region 4, a pre-construc�on engineer serves as a strong champion for GIS adop�on, and technical support is provided by a GIS specialist housed within the regional office. These two individuals were crucial to the success of GIS adop�on and realiza�on of associated business benefits. Once ini�al capabili�es were introduced, region staff iden�fied many other ways in which GIS could add value.

Payoff from GIS and Open Data UDOT was recently selected by the Na�onal Associa�on of State Chief Informa�on Officers (NASCIO) as a finalist for the State IT Recogni�on Award in the Open Government Ini�a�ves category.1 They were honored for their efforts related to open transporta�on data with UGate and UPLAN. Per NASCIO’s project descrip�on, UDOT es�mates the following cost benefits relevant to this project:

Improved asset inventory using LiDAR Point Cloud: $250,000/year. Improved workflow and data visualiza�on in the planning process in FY2012: $300,000. Streamlined NEPA data collec�on and categorical exclusion documenta�on: $100,000 in first year. Elimina�on of need for (state) redundant or similar systems and data through effec�ve sharing: $5 million one-�me and $1,600,000 ongoing.

Success Factors The following elements have been instrumental in the agency’s success to date in applying GIS for asset management:

A common LRS – like many agencies, UDOT houses business data in separate systems. A common LRS is cri�cal for pulling it all together for display and analysis in UPlan. Five or six years ago, there were several different ways of loca�ng informa�on on the road network. It took senior leadership and management to get everyone on the same page.

1 h�p://www.nascio.org/awards/nomina�ons2013/2013/2013UT9-NASCIOOpenGovernment2013uGate(2).pdf

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Emphasis on collabora�on and sharing data across the agency, and with partner agencies –this was a “mantra” used to help break down the tendency for each business unit to want to collect and manage data sets tailored for its own specific uses. UDOT is currently sharing data layers with many agencies throughout the state, and they look forward to expanding data partnerships. GIS leadership and technical capabili�es—UDOT was one of the last DOTs to establish an agency-wide GIS manager posi�on, and a strong business case analysis was required before the agency moved forward with that hire. This person is in charge of managing the quality of the data, maintaining the server, and the process of using it and sharing it. Now leadership understands the importance of not only centralized GIS management to provide a coordina�ng func�on, but also of establishing strong in-house GIS exper�se throughout the agency. For example, when the agency recently filled a vacancy in the HPMS team, leadership established GIS skills as a prerequisite for candidates for this posi�on. Understanding of the importance of GIS skills has grown over the past two years, coinciding with the agency’s ability to demonstrate value added through GIS/TAM applica�ons. Recogni�on of the importance of data management, including disciplined planning for upda�ng and linking data sets a�er ini�al collec�on.Training and communica�on on GIS. It is important to get the word out and establish two-way communica�on with staff across the agency. UDOT has conducted focus groups with regional staff to educate them about the capabili�es of GIS and discuss poten�al uses. Mentality and a�tude—a posi�ve a�tude is essen�al, with the ability to approach issues as challenges to be overcome rather than roadblocks to ac�on.

Maryland State Highway Administration: Enterprise GIS for Better Decision Making and Communication The Maryland State Highway Administra�on (SHA) is working toward a vision of a fully integrated, GIS-enabled asset management process. They have put in place the founda�on building blocks—including data, applica�ons, and change management elements—and have a framework for filling out the rest of the picture over �me. The agency is already reaping the benefits of what they have accomplished to date in the form of improved collabora�on, efficient informa�on sharing and dissemina�on both internally and externally, and high-quality decision support. SHA has geospa�al inventory data for pavements (including mainline, ramps, turn lanes, and shoulders), bridges, retaining walls, culverts, noise walls, stormwater facili�es, highway ligh�ng, and signs. The agency is in the process of building inventory for several addi�onal assets. SHA uses either la�tude/longitude or the county-route-milepoint LRS to locate each asset. These loca�ons are used to build spa�al data layers that can be shared and integrated into a variety of applica�ons. Data are collected using a combina�on of methods—some asset informa�on is extracted from videologs; other asset informa�on is collected in the field using mobile devices. SHA’s enterprise program (eGIS) has established a GIS technology-based data architecture that serves informa�on needs of mul�ple business purposes—addressing both execu�ve and opera�onal func�ons. eGIS is managed by the planning office and provides an standard applica�on framework for management, display, and analysis of spa�al informa�on. The system provides access to all of the agency’s spa�al data layers, as well as several external data layers from other agencies. eGIS

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integrates over 61 spa�al data themes, including asset data, construc�on project data, unstable slopes, and outputs from the statewide model. In order to improve the quality of construc�on project loca�on data, SHA recently put in place a requirement that all projects must have a GIS loca�on entered in order to receive funding approval. This requirement was implemented as a business rule within the agency’s electronic funding approval form. eGIS includes an asset data warehouse (ADW) used to manage data on highway ligh�ng, line striping, signs, traffic barriers, and rumble strips—with web-based edi�ng and repor�ng features. For example:

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For rumble strip planning, districts view a map showing where there are qualified roads for rumble strips and where there are already exis�ng rumble strips. They can add planned or excep�on records (where rumble strips are not recommended). This informa�on goes to the office of traffic safety for approval, and is used to plan contracts for new rumble strip installa�on. Reports are available showing the total qualified rumble strip mileage without exis�ng treatments by route prefix.“Canned” reports show total assets by district and asset type; custom reports allow for queries of asset quan��es by type on specific routes.

Map 7 illustrates a GIS capability for using asset informa�on to serve both execu�ve and opera�onal func�ons.

Map 7. Maryland SHA eGIS—Highway Ligh�ng Inventory

SHA plans to add traffic signals and park-and-ride lots to the ADW next. The agency is also planning a new data collec�on effort for sign retro-reflec�vity and will build in requirements for the data collec�on contractor that will ensure that new data can be integrated with the ADW. SHA has developed an “Asset Management Matrix” that tracks implementa�on progress for 13 different asset categories. Progress steps include establishing a documented asset management process, a plan for collec�ng and managing inventory data, and housing the data in the ADW. Data for some assets (e.g., pavements and bridges) are housed in specialized management systems; these data are currently integrated with eGIS through a combina�on of batch processes and live database

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linkages. As older applica�ons are replaced, SHA will consider transi�oning inventory data into the ADW. One of the eGIS applica�ons allows staff to assess and track ADA compliance—e.g., missing sidewalks—and iden�fy paving projects to address deficiencies. Another allows SHA staff to iden�fy asset vulnerabili�es related to climate change—e.g., based on erosion poten�al and flooding risk. As part of an FHWA-sponsored pilot project, SHA is conduc�ng outreach with field staff and ge�ng input on areas where frequent flooding occurs and the resul�ng impacts on assets (e.g., buildup of sedimenta�on, loss of drainage func�onality, pipe deteriora�on due to salt exposure). This informa�on is being located on GIS and combined with other available data (floodplains, FEMA flood depth risk groups, weather-related road closures from the incident management program, road eleva�ons from the pavement condi�on assessment vans, and available asset loca�on and characteris�cs data). This collec�on of spa�al data will be used to evaluate op�ons to reduce risks through asset replacement/retrofit, changes in asset si�ng and design criteria and standards, and changes in maintenance prac�ces. SHA is working to develop a routable network in order to be�er understand and priori�ze risks and support emergency evacua�on planning. GIS has been used as an instrument for changing the culture of SHA toward more data driven decision making. The eGIS program has been able to break down the silos across program and project managers. GIS is also viewed as essen�al for performance-based planning and programming, bringing together safety, conges�on, and asset condi�on data. GIS provides the necessary integra�on pla�orm to tell the story of what is needed to meet agency goals—and of the gap between current needs and planned investments. Examples include:

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SHA conducts an annual analysis of safety corridors using GIS to iden�fy what projects have been completed, which are planned, and what else is needed. GIS is used to assess the adequacy of exis�ng corridor planning efforts based on current bo�lenecks and areas of unreliability (derived from real-�me traffic data). GIS has been used to link corridor planning, asset management, and NEPA ac�vi�es. For the Capital Beltway project, the eGIS provided a central base of informa�on that could be used by representa�ves of planning, construc�on, and design; as well as by individual asset owners to iden�fy issues and needs to be addressed and help determine how to phase NEPA ac�vi�es. GIS is used to iden�fy where work on different assets can be scheduled together in order to minimize traffic disrup�on on high-volume facili�es.

GIS has been used to enhance the efficiency of decision support for key management mee�ngs at SHA. For example, at system preserva�on mee�ngs, staff used to prepare presenta�on slides for each candidate project based on compila�on of data from mul�ple sources. This prepara�on was very �me consuming. Now, with eGIS, advance prepara�on needs are minimal—staff zoom to the project loca�on and use aerial photos and safety and asset data to establish priori�es. GIS is also now used at bi-annual administra�ve project reviews to address execu�ve ques�ons on specific projects. Before this tool was available, about 25% of the projects would require staff research, adding effort and delay to the review process. GIS is also being used as an external communica�on tool. SHA is using ArcGIS online to create a map showing projects to be funded with the newly passed 7% gas tax increase. A map service is also being created indica�ng the status of all public roads (open, closed, under construc�on) for emergency management purposes. The agency plans to build on its one-stop-shop model within eGIS to develop

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addi�onal targeted GIS applica�ons that are tailored to meet specific business needs and/or user communi�es. SHA has developed a strategic plan for further integra�ng the eGIS program into SHA business processes, adding value through the analy�cal assessment of business data in a geospa�al context. For example, one new “widget” candidate would be used to analyze crash data hotspots in rela�onship to roadway projects to determine whether crash-prone loca�ons are improving or decreasing incidents due to modifica�ons applied to these loca�ons. SHA is also beginning to use GIS to assess geographic balance in the pavement program. This has been valuable for assessing poten�al impacts of a purely data-driven pavement priori�za�on approach on local economies in rural por�ons of the state where paving contractors are major employers. With the spa�al asset inventory as a founda�on, SHA is turning its a�en�on to the asset work tracking func�on. The agency recently deployed 160 tablets to maintenance crews, who will be using these devices in the field to record completed work. These data will enable tracking of expenditures by asset, ac�vity, and route loca�on. Future goals include implementa�on of a more complete GIS-based maintenance management func�on. The ability to link work history informa�on to asset condi�on data is essen�al to establishing rela�onships between maintenance ac�vity and asset life extension, which is a key criterion for determining federal eligibility. While the focus to date has been on implemen�ng asset management processes for individual assets, the intent is to develop capabili�es for balancing investments across assets based on risk. This would involve establishing minimum condi�on or performance thresholds for each asset class. GIS tools could be used to visualize which assets are mee�ng (or exceeding) these thresholds and iden�fy opportuni�es for adjus�ng the balance of investment. Key success factors in SHA’s GIS/TAM efforts include:

• Management support for GIS at mul�ple levels of the agency. Extensive GIS training across the agency, including in district offices to build familiarity with GIS tools and applica�ons. Recogni�on of the value of GIS for helping asset managers to look across programs—both statewide and in the context of major corridors, and for le�ng the public know that the agency is pu�ng the available dollars where the needs are greatest. Commitment to strengthening data-driven decision making—with a focus on safety, mobility/economy, and system preserva�on/asset management—and understanding of how GIS can help in this process.Business-driven planning and priori�za�on of GIS investments—with close coordina�on between planning and IT units to coordinate project requests and integrate business and spa�al data components. GIS-centric data collec�on, storage, presenta�on, and analysis technologies, architected so that one system can serve mul�ple business purposes within the agency, from strategic to opera�onal func�ons. Phased approach to building a core pla�orm that can be extended to meet a variety of business needs.

Illinois DOT: Building a GIS Foundation with an Outsourced Approach The Illinois Department of Transporta�on (IDOT) experience provides an example of an outsourced approach to building a GIS founda�on for asset management and other DOT applica�ons. An ini�al

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network design provided a flexible basis for migra�on to the outsourced approach and integration with a variety of exis�ng systems for asset management. In 1996, IDOT completed development of a digital link/node base for its road network, with integra�on to their completely redesigned legacy mainframe roadway inventory systems. Scanned county maps (to approximately 1:64,000 scale) provided the basis for the network, which encompassed 224,000 digi�zed link segments represen�ng over 107,000 miles. The network included centerline coverage of all state, county, and township jurisdic�on roadways and federal-aid municipal jurisdic�on routes. However, approximately 35,000 miles of the municipal street network were not included due to the high level of effort for iden�fica�on. Over �me, IDOT gradually improved the accuracy of the digi�zed links and integrated the link/node base with addi�onal databases to support asset management–related applica�ons as follows:

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Roadway, structure, rail/highway crossing inventories. Traffic data collec�on and management. Opera�ons and maintenance ac�vi�es. Annual and mul�-year planning and programming ac�vi�es Individual and high crash loca�on iden�fica�on. Video inventory and condi�on assessment.

Project management. One recent example of IDOT’s applica�on of GIS for asset management is shown below in Map 8. This map was prepared to iden�fy structures for improvement to accommodate overweight truck ac�vity due to new "fracking" ac�vi�es. They display the deficient structures and iden�ty by program year those that will be improved. The map view provided the ability to link structures and the program with travel need corridors.

Map 8. IDOT District 9—Deficient Structures by Program Year of Upgrade

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A valuable characteris�c of IDOT’s spa�al informa�on systems infrastructure is the direct linkage of data to the underlying LRS using a variety of system iden�fiers including differing milepost referencing and project numbering schemes. This direct linkage enables the complex integra�on of asset management–related data files across the enterprise and also provides access to historical asset informa�on. Changes to the route referencing systems are readily accommodated without loss of integra�ve capabili�es. Newly available internal and external spa�al informa�on layers can be accommodated when referenced to IDOT’s LRS or to state plane coordinates. Outputs include a variety of user-developed asset management iden�fica�on and analysis products. IDOT uses data warehouse func�onality to provide access to historical data through the crea�on of year-end archives for the roadway inventory files and the LRS. These archived files can be accessed for historical informa�on on traffic levels, pavement condi�on, and roadway rehabilita�on projects in support of pavement network analysis and research ac�vi�es. Thus, comparisons can be made over the same sec�on of roadway by using the LRS reference, even if the route name or milepost conven�on has changed.

Upgrading the LRS In 2005, IDOT made the decision to reference road network informa�on from an outside source in order to fill gaps in the exis�ng roadway geometry and network capabili�es. Primary mo�va�ng factors were:

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Recogni�on that be�er accuracy was needed for mul�ple purposes including federal repor�ng, external communica�ons, safety analysis, and truck permit rou�ng; Increasing demand and use for IDOT all-public-roadway–GIS layer for sharing with other state agencies and local agencies for func�ons such as crash loca�on; Insufficient internal staff resources to perform full county-by-county or city-by-city analysis to verify exis�ng routes and locate missing roads; and Lack of a �mely and accurate resource to verify roadway data—par�cularly for local roads. Video inventory informa�on was available primarily for state-maintained roads. Aerial photography was up to seven years old and missing in some loca�ons. Field verifica�on of the extensive local road network was cost prohibi�ve.

Illinois entered into an intergovernmental agreement for sharing NAVTEQ roadway informa�on in collabora�on with GIS Solu�ons and ESRI to provide a statewide comprehensive digital road network database. Under this agreement, NAVTEQ delivered quarterly updates of the map database to GIS Solu�ons, which was responsible for integra�on and deployment of the data within the IDOT environment. The original plan was to “convert” the NAVTEQ geometry and make it the underlying spa�al linear reference. However, during the conversion process, constraints were discovered that forced an alterna�ve path. Instead, IDOT staff conflated various characteris�cs of their roadway inventory with the NAVTEQ data, allowing the dynamic segmenta�on of event data onto the new roadway geometry, when applicable. In 2010, IDOT migrated to a roadway inventory system fully maintained in a rela�onal database environment, both events and geometry, implemen�ng a route system in polyline-M. Taking advantage of the versioning and storing capabili�es offered by ArcSDE, mul�ple editors were able to work on versions of the data, which were subsequently reconciled, crea�ng a produc�on dataset stored and accessed in ArcSDE on an IDOT server. IDOT has used the NAVTEQ roadway base for a variety of applica�ons. For QA, IDOT was able to locate and verify over 5,000 miles of addi�onal local roads, which had not previously been included in

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the Illinois roadway inventory. The roadway base also provided a QA check on the roadway inventory network and served as a reliable source for iden�fying and/or verifying new roadway segments. The intergovernmental agreement also supported sharing of the NAVTEQ roadway base with state and local units of government for roadway management and crash loca�on ac�vi�es. The roadway base also enabled roadway rou�ng applica�ons by adding dual carriageway centerline informa�on for divided roadways. IDOT used this base for the development of its recently completed truck permit rou�ng system for oversize and overweight trucks on the en�re 15,000 mile plus state roadway network. Achieving a comprehensive, navigable GIS roadway base represents a significant milestone in terms of GIS deployment and use in Illinois. The robustness of the data enables the development of mul�ple applica�ons, all based on a common set of features, allowing for a common display and analysis base for all of the state’s governmental agencies. Benefits of the outsourced approach were:

More efficient QA for en�re public roadway network (>145,000 miles); ••••

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Easier iden�fica�on of new public roadway segments; New base for permit and access rou�ng applica�ons; More reliable roadway network for integra�on with external datasets, providing addi�onal valuable input for asset management analysis; More accurate, precise, and complete local agency roadway informa�on for data sharing and communica�on; and Improved loca�on-addressing capabili�es.

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References 1. Even Keel Strategies, Introducing a Maturity Model for Enterprise GIS, 2008. 2. Sonnen, David, J. Moeller, and D. LeBranche, Geospaal Enterprise Integraon Maturity Model.

Northrup Grumman, June 24, 2009. 3. URISA GIS Management Ins�tute. GIS Capability Maturity Model, April 2013, Public Review Dra�. 4. Maguire, David J., Ross Smith, and Victoria Kouyoumjian. The Business Benefits of GIS: An ROI

Approach. ESRI, Inc., 2008. 5. Dye Management Group. Transportaon Asset Management Feasibility Study. Prepared for the

Washington State Department of Transporta�on, 2009. 6. Oregon Department of Transporta�on, Asset Management Strategic Plan, November 2011. 7. Ford, Mark, Robb Kirkman, Jim Cox, and David Ringeisen. Benefits of GIS to Manage a Major

Transporta�on Program: Evalua�on and Lessons Learned. In Transportaon Research Record: Journal of the Transportaon Research Board, No. 2291. Transporta�on Research Board of the Na�onal Academies, Washington, D.C., 2012, pp. 1–7.

8. Adams, Teresa M. Synthesis of Best Pracces for the Development of an Integrated Data and Informaon Management Approach. Midwest Regional University Transporta�on Center, No. MRUTC 03-02. 2008, page 14.

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Appendix A: Applications Catalog

TAM Business Process

Agency Applicaon


Rhode Island DOT

The Rhode Island DOT is implemen�ng a CMMS to manage its roads and highways asset base. The DOT is leveraging its statewide GIS data to allow work orders to be a�ached to assets spa�ally, allowing the DOT’s maintenance programs to be tracked as they would be in any other work order management/CMMS system but with the cri�cal addi�onal ability to track where the work is happening by asset type. The project involves integra�on of the new ESRI linear referencing GIS data model and work flow for roads and highways.



Ohio DOT A single data collec�on vehicle collects highway data on the en�re network. Data types include super HD videolog (na�ve resolu�on of the roadway at 7500 X 2000 pixels, as well as an addi�onal rear-facing camera), interna�onal roughness index (IRI) smoothness data, transverse profile for ru�ng, surface macrotexture, GIS, ver�cal and horizontal curvature, grade, cross slope, and many others. All data is collected in a single pass and shared over a local network or Internet browser.

Recently, the state spearheaded a project to extract asset data from the high-resolu�on images to locate, assess, and deploy a statewide database of all asset types of interest. Using the very same desktop applica�on they use for pavement management decisions, they were able to measure, locate, and store any asset that can be seen from the images (and display those that can’t, such as culverts and subgrade). More importantly, that data is now �ghtly integrated with all state data through the use of GIS tools.

The result is that all data collected by the state in the past 100 years (of any kind) is available in a GIS environment, complete with up-to-date photos of the roadway and condi�on informa�on.

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Agency Applicaon



Idenfy Needs and Work Candidates

Develop Programs


Kentucky Transporta�on Cabinet

In 1999, the Kentucky Transporta�on Cabinet (KYTC) implemented so�ware that enabled it to integrate spa�al and tabular road data for the first �me. Since then KYTC has made constant improvements to the data, which incorporates all roads in Kentucky and interfaces to other systems to enable it to provide a founda�on for enterprise asset management. Data are integrated from the bridge, pavement, traffic, accoun�ng, opera�ons and maintenance six-year plan; highway design project archive; and construc�on management systems.

All data are linkable through the county route and milepoint LRS. The �ghtly integrated network, asset, and spa�al data mean that any records, regardless of where they are maintained, can be mapped and analyzed spa�ally based on LRS loca�on.

KYTC has built a sophis�cated network update process using their spa�al data management and asset edi�ng so�ware. Network changes needed by mul�ple state agencies, including the transporta�on cabinet and public safety, are captured at the local level then added to the statewide highway database by the transporta�on cabinet.

KYTC recently acquired high speed data collec�on vans to collect pavement condi�on and images that can be used to capture other asset data. Images are captured every 26 feet in both direc�ons. KYTC worked with its so�ware and data collec�on vendors to update the milepoint loca�ons of images and pavement data. This allowed for images to be used together with any other data located using the KYTC LRS. New asset records can be added to the highway informa�on system (HIS) based on the images.

KYTC uses a range of powerful tools to analyze and extract data based on network loca�ons. This ranges from simple internal strip map views and reports to spa�al data extracts for complex data sets like the HPMS report and SUPERLOAD vehicle rou�ng networks.

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Agency Applicaon




Develop Programs


Oregon DOT The TransInfo project was jointly sponsored and led by the planning, maintenance, and IT offices at ODOT and was designed to support both the planning and maintenance business func�ons, significantly reducing duplica�on of asset records. This project replaced legacy mainframe roadway asset inventory databases with a consolidated modern GIS-enabled rela�onal database with built-in map as well as form-based data maintenance applica�ons. Three cri�cal data sets were integrated: the state highway milepoint loca�on control database, the features inventory database used for maintenance ac�vity budge�ng, and the GIS state highway network database. The project enabled ODOT to update its network asset data and linear referencing data model as it migrated data from the legacy system to the new database. The new data model supports mul�ple LRSs, temporality (history), and data valida�on based on network loca�ons.

The system includes a thin client with an interac�ve map interface, and a GIS-based desktop applica�on providing func�onality for map-based network asset maintenance as well as GIS display and analysis.

All of the network and asset data edi�ng applica�ons make use of network loca�on for data valida�on during edi�ng, based on user-configurable rules. While the quality of ODOT’s network asset data was good to begin with, this transac�onal valida�on, as well as the map display, has significantly improved the quality of ODOT network asset data, without the need for constant data quality repor�ng and checking. Historically, this has consumed significant staff resources.

The TransInfo system tools provide a founda�on for integra�ng addi�onal data sets in the future. Integra�on of small yet important data sets like bicycle and pedestrian facili�es and barriers were included in the scope of the project, but the ODOT team was also able to add other data types like pipe ou�alls, to meet urgent needs that arose a�er the project started.

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Agency Applicaon



Develop Programs

Oregon DOT The agency developed the FACS-STIP Tool to provide easy access to useful asset informa�on (loca�on, a�ributes, and condi�on) and communica�on of new or updated asset informa�on with one easy-to-use applica�on. This web-based tool allows users throughout the agency a single site to compare over 60 datasets to aide in project planning, inventory, and project delivery. Users can create custom reports and spreadsheets for field inventory updates and verifica�on. Addi�onal func�onality allows users the op�on to upload field collected data to the site along with project specific comments.

FACS-STIP is designed to enable ODOT to effec�vely move toward a series of business systems that will integrate and store GPS/GIS-based field data inventories using GIS applica�ons while being supported by spa�al interoperability data management tools for the extrac�on, transla�on, and loading (ETL) of GPS field data back into ODOT environment databases.



North Carolina DOT

The agency uses GIS-enabled so�ware on tablets to collect statewide maintenance condi�on data at a sta�s�cally significant level within each county. Sampling is accomplished by subdividing the LRS and selec�ng appropriate samples within each region/county for each road system. This data is collected throughout the year and feeds a department performance dashboard for maintenance. Data collected includes the inventory and condi�on of ditches, shoulders, pipes, vegeta�on control, pavement markers and markings, etc.


Idenfy needs and Work Candidates

Develop Programs

North Carolina DOT

The North Carolina DOT (NCDOT) implemented an integrated asset management system that included an MMS, PMS, and bridge management system (BMS) as well as an asset trade-off analysis module. Data from each asset group is leveraged to priori�ze maintenance needs and to define performance thresholds. The system features an integrated GIS framework with the ability to publish maps to enhance analysis, repor�ng, and decision op�miza�on. For example, GIS repor�ng can be used to view es�mated remaining life for bridges on a map, iden�fy a specific bridge and its structural details on a map, or view current pavement ra�ngs on a map.

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Agency Applicaon

Idenfy State of the Assets

Utah DOT The agency contracted for a comprehensive asset data set, including photolog, GPS, pavement, and LiDAR for over 14,000 lane miles plus ramps. The asset inventory included signs, walls, shoulders, paint stripes, pavement messages, intersec�ons, rumble strips, and bridges, as well as lane area and pavement width measurements. The effort included deployment of desktop asset processing so�ware and web-enabled viewing so�ware that allows each department to access the data. Users are able to filter the data to find individual asset types, add new assets to the inventory, and make measurements on those new assets that are instantly updated for other users to see.

At the heart of the data collec�on vehicle is a robust posi�onal system that is used to synchronize all of the other datasets. The real-�me differen�al system was able to handle a wide variety of terrain found in Utah, including mountainous regions with sub-op�mal satellite coverage. 100% of the posi�onal data was post-processed to achieve the best accuracies possible. The processed data was then synchronized with the imaging, LiDAR, and pavement datasets, allowing for the precise measurement of clearances and roadway assets.



Somerset County Council (UK)

A GIS-enabled mobile infrastructure management system is used to facilitate the process of repor�ng, responding to, and tracking maintenance work. With 30,000 road defects reported each year, the GIS-based solu�on has enabled the agency to respond more efficiently to faults. This has resulted in 98% of all highway defects being repaired within their target response �me.

Inspectors report maintenance issues in the field and send the exact loca�on of the fault back to the infrastructure management system. The informa�on is automa�cally relayed to the agency’s safety defect controllers, who are then able to allocate the most appropriate work group to deal with the problem. A before and a�er photograph of the work is taken and uploaded to a secure shared website, where the highway team can virtually inspect the repair and sign off on the job.

The system enables highway works to be programmed and planned in advance rather than being purely reac�ve, and provides real-�me visibility into the state of the highway network. Improved understanding of the condi�on of highway assets also means Somerset can more accurately allocate budgets to the right areas.

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Agency Applicaon



Westlink Services—M7 Motorway in Sydney, Australia

Westlink Services deployed a GIS-based asset management system to track the condi�on of all the assets along the 40 km stretch of motorway, including the road surface, barriers, embankments, bridges, ligh�ng points, and the systems for toll collec�on. The asset inspectors use the so�ware on laptops and tablets. They use the integrated mapping func�on to quickly locate any asset at any point along the motorway. This visual aspect speeds the inventory and inspec�on process.

Another benefit of the system has been the capability to collect and organize data to produce very accurate historical records of maintenance work. For example, bridge inspectors are able to cross check all the elements using the historical data.

Westlink notes that they have used the system to speed up decision making, which assists with planning and repor�ng processes.



St. Johns County Public Works Department, Florida

The agency deployed a GIS-based enterprise asset management system, built around a geodatabase containing an inventory of assets within the county-maintained right of way. The geodatabase was designed to facilitate improved informa�on management across mul�ple departments. The inventory was built from a combina�on of extrac�on from orthophotography, new field data collec�on using real-�me differen�al GPS technology, and migra�on from exis�ng databases.

A van equipped with video cameras created a visual inventory of traffic signs, traffic barriers, sidewalks, and street ligh�ng. The vans were configured with six cameras to collect a complete panoramic view of all assets as technicians drove the vans down the roadway. Wide angle cameras faced the front and back to capture complete right-of-way views. Technicians then extracted the data using the best camera view and made the video and s�ll photos accessible through the GIS interface.

The inventory is integrated with an MMS, which is configured to track cost-to-work performed on transporta�on-related assets, which include the integra�on to a pavement management interface.



City of Indianapolis, IN

The city used mobile LiDAR and imagery from a mobile mapping system to create an inventory of all regulatory signs within the city’s 400 square miles. Automated feature recogni�on and extrac�on rou�nes were used to rapidly compile informa�on about each sign required for Manual on Uniform Traffic Control Devices compliance.

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Agency Applicaon


St. Louis County Public Works

Faced with an aging transporta�on infrastructure, St. Louis County Public Works was constantly making repairs and performing construc�on projects involving mul�ple ci�es to ensure the safety and reliability of the county’s road and bridge systems across a 6,741 square mile area. Its staff managed several projects in tandem using a string of different systems, which caused confusion and inefficiencies. With growing budget constraints, the department needed a more efficient way to manage its transporta�on infrastructure assets—from construc�on projects to ongoing maintenance.

St. Louis County Public Works gained improved control of its transporta�on infrastructure, including work orders and assets, by using a geospa�ally-enabled linear asset management solu�on. The system has a single interface for all phases of project ac�vi�es and is alerted if a project is approaching its purchase order limit. Any �me during the course of a project, the staff can visualize the assets and access informa�on to determine what work is in process, how much �me and money has been spent, and what has been paid for and to whom. They can even divide the cost out for each segment of a road project based on its loca�on. With a near real-�me, comprehensive view of more than 3,682 transporta�on assets, from graders to air compressors, the staff uses the new level of visibility to proac�vely schedule preven�ve maintenance and predict equipment breakdowns, significantly improving asset reliability while reducing costs. Key benefits realized:

Advanced by 100 percent the ability to accurately split project costs by using linear reference points for roads and bridges.

Boosted organiza�onal efficiency by using a single interface for all phases of a project.

Improved budge�ng and planning through the ability to accurately track costs.

Enhanced asset reliability through increased preven�ve maintenance.

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Agency Applicaon





Sacramento Area Sewer District

The district’s wastewater collec�on system relies on more than 400,000 assets including 52 miles of forced mains and pressure systems, 3,000 miles of gravity sewers, and 279,000 service-level connec�ons. The district is implemen�ng a new asset management system, integra�ng informa�on from its GIS and observa�ons from live video footage of the pipes themselves. The solu�on will enable the sharing of data across agency departments, including maintenance and opera�ons, regulatory compliance, business planning, and capacity planning to improve forecas�ng. When problems do arise, the so�ware will allow engineers to understand how the asset failed, why it failed, and when so they can develop the necessary maintenance strategies to prevent future asset failures. The system will also track all costs associated with opera�ng and maintaining each asset, enabling staff to iden�fy opportuni�es for cost savings.

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Agency Applicaon





City of Corpus Chris�, TX

The city lacked a centralized system to manage its separate water, wastewater, u�lity, and storm-water services departments. Despite the city’s established GIS, keeping opera�ng costs low while s�ll providing excellent service to ci�zens remains difficult, because work requests were not interfaced with the GIS system and thus could not be spa�ally analyzed.

Corpus Chris� implemented a work and asset management system to improve management of its public works and u�lity departments, along with other areas of city administra�on, including park management, airport opera�ons, and traffic engineering. The solu�on integrated asset informa�on, work orders, accoun�ng informa�on, and geographical data for tens of thousands of physical assets such as water mains, traffic lights, bridges, park lawns, fire hydrants, garbage trucks, and storm-water ditches. Ci�zen calls, which used to be handled and recorded manually, are now routed to a city-wide call center so that staff can deploy resources based on urgency and service level requirements. The system also enables the loca�ons of problems to be visualized geographically, so that trends (e.g., frequent water main breaks in a par�cular area) can be iden�fied and addressed much faster than in the past.

Standardized loca�on and priority codes in the system help staff deploy resources based on urgency and service-level requirements (for example, maintenance crews must respond to gas leaks within 30 minutes).

Because the so�ware is integrated with the city’s geographic informa�on system, city staff can spa�ally view problem areas and planned work, as well as proac�vely iden�fy areas with serious infrastructure problems. For example, the wastewater department found that many wastewater backups were not caused by rain, signaling an issue with the pipes themselves. Staff members then used the spa�al analysis capabili�es to pinpoint which areas experienced problems in dry weather and implement a repair strategy.

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Appendix B: Resources

GPS Data Collection Standards State of North Carolina: h�p://www.ncgicc.com/Portals/3/documents/ GNSS_Standard_Version4_Adopted2014.pdf Kentucky Transporta�on Cabinet: h�p://transporta�on.ky.gov/Planning/Documents/GPSMaintenanceStandardsall_rev.pdf New York State DOT: h�p://gis.ny.gov/coordina�onprogram/workgroups/wg_1/related/standards/documents/GPS_Guidelines_FINAL.pdf New Jersey DOT: h�p://www.state.nj.us/dep/gis/GPSStandards_2011.pdf Oregon DOT: h�p://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_301.pdf (Appendix C)

Geospatial Data Policies West Virginia DOT: h�p://www.transporta�on.wv.gov/highways/programplanning/planning/ grant_administra�on/wvtrails/Pages/gps.aspx Maryland: h�p://imap.maryland.gov/Documents/Data/MDiMap_DataSubmissionPolicy.pdf Oregon DOT (Road Centerlines): h�p://www.oregon.gov/DAS/CIO/GEO/docs/transporta�on/roadcenterlinedatastandardv5.pdf

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